City of San Diego · 23545 Palomino Dr., #104, Diamond Bar, CA 91765 909-455-0187 ext. 139 - SOUTH....

City of San Diego CONTRACTOR’S NAME: ADDRESS: TELEPHONE NO.: FAX NO.: CITY CONTACT: Brittany Friedenreich, Sr. Contract Specialist, Email: [email protected]

Phone No. (619) 533-3104 B. Friedenreich / R. W. Bustamante / L. I. Russell

BIDDING DOCUMENTS

FOR

JOB ORDER CONTRACT (JOC) BUILDING IMPROVEMENTS BID NO.: K-20-1879-JOC-3SAP NO. (WBS/IO/CC): 11004079CLIENT DEPARTMENT: 2117COUNCIL DISTRICT: CITYWIDEPROJECT TYPE: BS

THIS CONTRACT WILL BE SUBJECT TO THE FOLLOWING:

THE CITY’S SUBCONTRACTING PARTICIPATION REQUIREMENTS FOR SLBE PROGRAM

PREVAILING WAGE RATES: STATE FEDERAL

APPRENTICESHIP

ADDITIONAL FUNDING SOURCE REQUIREMENTS AS SPECIFIED IN EACH TASK FOR JOC CONTRACT

BID DUE DATE:

2:00 PM AUGUST 13, 2019

CITY OF SAN DIEGO’S ELECTRONIC BIDDING SITE, PLANETBIDS http://www.sandiego.gov/cip/bidopps/index.shtml

Pub Construction, Inc.23545 Palomino Dr., #104, Diamond Bar, CA 91765

909-455-0187 ext. 139

- SOUTH

EsparzaM

Final

Job Order Contract (JOC) Building Improvements 2 | Page Bid No. K-20-1879-JOC-3

DEPUTY CITY ENGINEER

The engineering Specifications and Special Provisions contained herein have been prepared by or under the direction of the following Registered Engineer:

Seal: Registered Engineer Date For City Engineer

7-31-19

TABLE OF CONTENTS

SECTION PAGE

Job Order Contract (JOC) Building Improvements 3 | Page Table of Contents

1. NOTICE INVITING BIDS ................................................................................................................................ 4

2. INSTRUCTIONS TO BIDDERS………………………………………………………………….. .......................................... 7

3. ATTACHMENTS ........................................................................................................................................... 21

A. SCOPE OF WORK ................................................................................................................................. 22

B. RESERVED............................................................................................................................................. 24

C. RESERVED............................................................................................................................................. 25

D. PREVAILING WAGE .............................................................................................................................. 26

E. SUPPLEMENTARY SPECIAL PROVISIONS .......................................................................................... 31

For JOC projects, technicals and/or appendices will be included with the Task Order Documents

F. RESERVED............................................................................................................................................. 47

G. CONTRACT AGREEMENT .................................................................................................................... 48

4. CERTIFICATIONS AND FORMS .................................................................................................................. 51

5. ADDITIONAL FUNDING AGENCY PROVISIONS (FOR REFERENCE ONLY) AND FEDERAL SUBCONTRACTING REQUIREMENTS (FOR REFERENCE ONLY) ............................................................ 62

Job Order Contract (JOC) Building Improvements 4 | Page Notice Inviting Bids ( Rev. July 2019)

NOTICE INVITING BIDS

1. SUMMARY OF WORK: This is the City of San Diego’s (City) solicitation process to acquireConstruction services for JOB ORDER CONTRACT (JOC) BUILDING IMPROVEMENTS. Foradditional information refer to Attachment A.

2. FULL AND OPEN COMPETITION: This Contract is open to full competition and may be bid onby Contractors who are on the City’s current Prequalified Contractors’ List. For informationregarding the Contractors Prequalified list visit the City’s web site: http://www.sandiego.gov.

3. ESTIMATED CONSTRUCTION COST: The City’s estimated construction cost for this project is$9,000,000. The estimated construction cost for South of U.S. Interstate Route 8 (I8) is$4,500,000 and the estimated construction cost for North of U.S. Interstate Route 8 (I8) is$4,500,000.

4. TWO SEPARATE CONTRACTS: The City intends to award two (2) separate Contracts for JOCBUILDING IMPROVEMENTS to two (2) different Contractors resulting from this solicitation.Each of the two Contracts will cover distinct geographical locations as follows:

4.1. Contract 1 will be for JOC BUILDING IMPROVEMENTS South of I8.

4.2. Contract 2 will be for JOC BUILDING IMPROVEMENTS North of I8.

5. EACH CONTRACTOR AS A BACK-UP: This Job Order Contract (JOC) is an IndefiniteDelivery/Indefinite Quantity agreement. All City projects, up to the Maximum ContractAmount, that fall within the scope of work described herein will be awarded pursuant to thisContract. The Contractor agrees to perform all work assigned via Task Orders. The amount ofwork and number of Task Orders to be issued are not yet known. Upon direction from theCity, each Contractor may act as a backup to the other in the event that a Contractor is unableto perform the quantity of work issued by the City pursuant the Contract.

5.1. Assignment of Contract Work to a back-up Contractor will be at the sole discretion of theCity. This is not an opportunity for a Contractor to opt-out of a Task. However, in the event that the Contractor is unable to perform a Task, the Contractor shall notify the City and provide sufficient justification as to the reason(s) it cannot perform the Task. Justification shall be submitted to the City promptly after the Task is issued to the Contractor, but no later than ten (10) Days after issuance. The City will review the justification and make a final determination within ten (10) days. If the City does not agree to the justification, liquidated damages may be assessed as per the WHITEBOOK; or the Contractor may be found in breach of Contract and defaulted.

5.2. The Contractor acting as the back-up shall then perform that Task Order using the quoted prices from its own Contract. The back-up Contractor may decline to accept the Task Order by notifying the City and providing sufficient justification as to the reasons it cannot perform the Task. Justification shall be submitted to the City promptly after the Task is issued to the Contractor but no later than ten (10) Days after issuance.

6. BID DUE DATE AND TIME ARE: AUGUST 13, 2019 at 2:00 PM.


7. PREVAILING WAGE RATES APPLY TO THIS CONTRACT: Refer to Attachment D. For the purpose of determining which prevailing wage determination to be used on each Task Order, use the date of the Request for Cost Proposal/Task Order issued by the City. Task Orders using State and/or Federal funding may include additional requirements. Refer to the Request for Cost Proposal/Task Order issued.

8. LICENSE REQUIREMENT: To be eligible for award of this Contract, Prime Contractor must possess the following licensing classification: CLASS B

9. AWARD PROCESS:

9.1. Separate Contracts will be awarded to the two lowest responsive and responsible Bidders. There will be one Contract awarded for the area South of I8 and one for area North of I8. No single Contractor may be awarded the Contracts for JOC BUILDING IMPROVEMENTS for both South of I8 and North of I8.

9.2. The award for the South of I8 portion will be made to the apparent low bidder. The award for the North of I8 portion will be made to the second apparent low bidder.

9.3. In the event of a tie on either the South of I8 or the North of I8 portions, the City will determine the selected Contractor by a coin-toss or a similar random method.

9.4. The award of these Contracts is contingent upon the Contractors’ compliance with all conditions of Award as stated within these documents and within the Notice of Intent to Award.

9.5. Upon acceptance of bids and determination of the apparent low bidder, the City will prepare the Contract documents for execution. The City will then award the Contract upon receipt of properly signed Contract Documents.

9.6. The Contracts will be deemed executed and effective only upon the signing of the Contract by the Mayor or his designee and the City Attorney’s Office.

10. SUBMISSION OF QUESTIONS:

10.1. The Director (or Designee) of Public Works Department is the officer responsible for opening, examining, and evaluating the competitive Bids submitted to the City for the acquisition, construction and completion of any public improvement except when otherwise set forth in these documents. Any questions related to this solicitation shall be submitted to:

Public Works Contracts 525 B Street, Suite 750 (7th Floor) San Diego, California, 92101 Attention: Brittany Friedenreich

OR:

[email protected]


10.2. Questions or clarifications deemed by the City to be material shall be answered via issuance of an addendum and posted to the City’s online bidding service.

10.3. Only questions answered by formal written addenda shall be binding. Oral and other interpretations or clarifications shall be without legal effect. It is the Bidder's responsibility to be informed of any addenda that have been issued and to include all such information in its Bid.

11. CITY'S RESPONSES AND ADDENDA: The City, at its option, may respond to any or all questions submitted in writing via the City’s eBidding web site in the form of an Addendum. No other responses to questions, oral or written shall be of any force or effect with respect to this solicitation. The changes to the Contract Documents through addendum are made effective as though originally issued with the Bid. The Bidders shall acknowledge the receipt of addenda at the time of Bid submission.

12. CITY'S RIGHTS RESERVED: The City reserves the right to cancel the Notice Inviting Bids at any time, and further reserves the right to reject submitted Bids, without giving any reason for such action, at its sole discretion and without liability. Costs incurred by the Bidder(s) as a result of preparing Bids under the Notice Inviting Bids shall be the sole responsibility of each Bidder. The Notice Inviting Bids creates or imposes no obligation upon the City to enter a Contract.

Job Order Contract (JOC) Building Improvements 7 | Page Instruction to Bidders ( Rev. July 2019)

INSTRUCTIONS TO BIDDERS

1. PREQUALIFICATION OF CONTRACTORS:

1.1. Contractors submitting a Bid must be pre-qualified with a Maximum Bidding Capacity of at least half of the Maximum Contract Amount prior to the Bid submittal date. Bids from Contractors who have not been pre-qualified as applicable may be deemed non-responsive and ineligible for award.

1.2. The completed application must be submitted online no later than 2 weeks prior to the Bid Opening.

1.3. Contractors must remain prequalified throughout the duration of the JOC and its Task Orders. At no time during an open Task Order shall a Contractor’s prequalification expire, or the Contractor may be deemed non-compliant and in breach of Contract.

1.4. At no time can the aggregate dollar value of open Task Orders exceed the Contractor’s Maximum Bidding Capacity.

1.5. If the Contractor is at its Maximum Bidding Capacity with open Task Orders, the Contractor may not be eligible for a new Task Order until they have completed prior Task Order(s), thus reducing the aggregate dollar value of open Tasks by the amount necessary to take on a new Task Order. The Contractor may request that their prequalification limit be re-evaluated during the term of the Contract.

1.6. Joint Venture Bidders Cumulative Maximum Bidding Capacity: For projects with an engineer’s estimate of $30,000,000 or greater, Joint Ventures submitting Bids may be deemed responsive and eligible for award if the cumulative maximum Bidding capacity of the individual Joint Venture entities is equal to or greater than the total amount proposed.

1.6.1. Each of the entities of the Joint Venture must have been previously prequalified at a minimum of $15,000,000.

1.6.2. Bids submitted with a total amount proposed of less than $30,000,000 are not eligible for Cumulative Maximum Bidding Capacity prequalification. To be eligible for award in this scenario, the Joint Venture itself or at least one of the Joint Venture entities must have been prequalified for the total amount proposed.

1.6.3. Bids submitted by Joint Ventures with a total amount proposed of $30,000,000 or greater on a project with an engineer’s estimate of less than $30,000,000 are not eligible for Cumulative Maximum Bidding Capacity prequalification.


1.6.4. The Joint Venture designated as the Apparent Low Bidder shall provide evidence of its corporate existence and furnish good and approved bonds in the name of the Joint Venture within 14 Days of receipt by the Bidder of a form of Contract for execution.

1.7. Complete information and links to the online prequalification application are available at:

https://www.sandiego.gov/cip/Bidopps/prequalification

1.8. Due to the City’s responsibility to protect the confidentiality of the Contractors’ information, City staff will not be able to provide information regarding Contractors’ prequalification status over the telephone. Contractors may access real-time information about their prequalification status via their vendor profile on PlanetBids™.

2. JOINT VENTURE CONTRACTORS: Provide a copy of the Joint Venture agreement and the Joint Venture license to the City within 10 Days after receiving the Contract forms.

3. ELECTRONIC FORMAT RECEIPT AND OPENING OF BIDS: Bids will be received in electronic format (eBids) EXCLUSIVELY at the City of San Diego’s electronic Bidding (eBidding) site, at: https://www.sandiego.gov/cip/Bidopps and are due by the date and time shown on the cover of this solicitation.

3.1. BIDDERS MUST BE PRE-REGISTERED with the City’s Bidding system and possess a system-assigned Digital ID in order to submit and electronic Bid.

3.2. The City’s Bidding system will automatically track information submitted to the site including IP addresses, browsers being used and the URLs from which information was submitted. In addition, the City’s Bidding system will keep a history of every login instance including the time of login, and other information about the user's computer configuration such as the operating system, browser type, version, and more. Because of these security features, Contractors who disable their browsers’ cookies will not be able to log in and use the City’s Bidding system.

3.3. The City’s electronic Bidding system is responsible for Bid tabulations. Upon the Bidder’s or proposer’s entry of their Bid, the system will ensure that all required fields are entered. The system will not accept a Bid for which any required information is missing. This includes all necessary pricing, Subcontractor listing(s) and any other essential documentation and supporting materials and forms requested or contained in these solicitation documents.

3.4. BIDS REMAIN SEALED UNTIL BID DEADLINE. eBids are transmitted into the City’s Bidding system via hypertext transfer protocol secure (https) mechanism using SSL 128-256 bit security certificates issued from Verisign/Thawte which encrypts data being transferred from client to server. Bids submitted prior to the Bid Due Date and Time are not available for review by anyone other than the submitter which has until the “Bid Due Date and Time” to change, rescind or retrieve its proposal should it desire to do so.


3.5. BIDS MUST BE SUBMITTED BY BID DUE DATE AND TIME. Once the Bid deadline is reached, no further submissions are accepted into the system. Once the Bid Due Date and Time has lapsed, Bidders, proposers, the general public, and City staff are able to immediately see the results online. City staff may then begin reviewing the submissions for responsiveness, EOCP compliance and other issues. The City may require any Bidder to furnish statement of experience, financial responsibility, technical ability, equipment, and references.

3.6. RECAPITULATION OF THE WORK. Bids shall not contain any recapitulation of the Work. Conditional Bids will be rejected as being non-responsive. Alternative proposals will not be considered unless called for.

3.7. BIDS MAY BE WITHDRAWN by the Bidder only up to the Bid Due Date and Time.

3.7.1. Important Note: Submission of the electronic Bid into the system may not be instantaneous. Due to the speed and capabilities of the user’s internet service provider (ISP), bandwidth, computer hardware and other variables, it may take time for the Bidder’s submission to upload and be received by the City’s eBidding system. It is the Bidder’s sole responsibility to ensure their Bids are received on time by the City’s eBidding system. The City of San Diego is not responsible for Bids that do not arrive by the required date and time.

3.8. ACCESSIBILITY AND AMERICANS WITH DISABILITIES ACT (ADA) COMPLIANCE: To request a copy of this solicitation in an alternative format, contact the Public Works Contract Specialist listed on the cover of this solicitation at least five (5) working days prior to the Bid/Proposal due date to ensure availability.

4. ELECTRONIC BID SUBMISSIONS CARRY FULL FORCE AND EFFECT

4.1. The Bidder, by submitting its electronic Bid, acknowledges that doing so carries the same force and full legal effect as a paper submission with a longhand (wet) signature.

4.2. By submitting an electronic Bid, the Bidder certifies that the Bidder has thoroughly examined and understands the entire Contract Documents (which consist of the plans and specifications, drawings, forms, affidavits and the solicitation documents), and that by submitting the eBid as its Bid proposal, the Bidder acknowledges, agrees to and is bound by the entire Contract Documents, including any addenda issued thereto, and incorporated by reference in the Contract Documents.

4.3. The Bidder, by submitting its electronic Bid, agrees to and certifies under penalty of perjury under the laws of the State of California, that the certification, forms and affidavits submitted as part of this Bid are true and correct.


4.4. The Bidder agrees to the construction of the project as described in Attachment “A Scope of Work” for the City of San Diego, in accordance with the requirements set forth herein for the electronically submitted prices. The Bidder guarantees the Contract Price for a period of 120 Days from the date of bid opening. The duration of the Contract Price guarantee shall be extended by the number of Days required for the City to obtain all items necessary to fulfill all conditions precedent.

5. BIDS ARE PUBLIC RECORDS: Upon receipt by the City, Bids shall become public records subject to public disclosure. It is the responsibility of the respondent to clearly identify any confidential, proprietary, trade secret or otherwise legally privileged information contained within the Bid. General references to sections of the California Public Records Act (PRA) will not suffice. If the Contractor does not provide applicable case law that clearly establishes that the requested information is exempt from the disclosure requirements of the PRA, the City shall be free to release the information when required in accordance with the PRA, pursuant to any other applicable law, or by order of any court or government agency, and the Contractor will hold the City harmless for release of this information.

6. CONTRACTOR REGISTRATION AND ELECTRONIC REPORTING SYSTEM:

6.1. Prior to the Award of the Contract or each Task Order, you and your Subcontractors and Suppliers must register with the City’s web-based vendor registration and Bid management system. For additional information go to:

https://www.sandiego.gov/purchasing/Bids-Contracts/vendorreg

6.2. The City may not award the Contract until registration of all Subcontractors and suppliers is complete. In the event this requirement is not met within the time frame specified in the Notice of Intent to Award letter, the City reserves the right to rescind the Notice of Intent Award and to make the award to the next responsive and responsible Bidder/proposer.

7. PERFORMANCE AND PAYMENT BONDS

7.1. Performance and Payment Bonds will be required at time of Task Orders.

8. INSURANCE REQUIREMENTS:

8.1. All certificates of insurance and endorsements required by the Contract are to be provided upon issuance of the City’s Notice of Intent to Award letter.

8.2. Refer to sections 5-4, “INSURANCE”, of the Supplementary Special Provisions (SSP) for the insurance requirements which must be met.

8.3. Additional insurance requirements may be required for Tasks and will be identified in the Task Order Request for Proposal (RFP).


9. BID PRICE SUBMITTAL: This solicitation is for an Adjustment Factor type Contract, based on the RSMeans data and provisions as set forth herein.

9.1. The Bidder agrees to perform construction services for the City of San Diego in accordance with these Contract Documents. The Bidder guarantees the Adjustment Factors for a period of 730 Days from the date of award of Contract and for any Task Order Modifications executed after the expiration of the Contract that are required to complete a Task Order.

9.2. Contractor shall perform all Work required, necessary, and proper for or incidental to completing the Work called for in each individual Task Order issued under this Job Order Contract using the RSMeans data with the quoted Adjustment Factors.

9.3. Each Bidder shall submit 2 Adjustment Factors, which shall apply to Pre-priced and Non-Pre-priced Work items.

9.3.1. Pre-Priced items: In the quantities specified in the SOW and at the appropriate prices contained in the RSMeans.

9.3.2. Non-Pre-priced items: For the sum of the lowest prices obtained from the required number of competitive external quotes.

9.4. The Contractor shall perform all Work items called for in each Task Order’s Scope of Work. Each Work item will be multiplied by the quoted Adjustment Factor for Normal Working Hours (NWH) or Other Than Normal Working Hours (OTNWH) as follows:

9.4.1. Adjustment Factor #1 (AF1): The first Adjustment Factor will be applied to all Work items that are constructed during NWH.

9.4.2. Adjustment Factor #2 (AF2): The second Adjustment Factor will be applied to all Work items that are constructed during OTNWH.

9.5. The Adjustment Factors shall be specified to the fourth decimal place (e.g., 1.1234). Failure to express Adjustment Factors to the fourth decimal place will result in the Bid being non-responsive and ineligible for further consideration.

9.6. The Bidder with the lowest Composite Adjustment Factor (CAF) that meets all of the Bid requirements will be considered the Apparent Low Bidder. The Composite Adjustment Factor will be calculated using the following formula:

CAF = (AF1 x 0.80) + (AF2 x 0.20)

9.7. The calculation used above is not a forecast of the portions of Normal Working Hour or Other Than Normal Working Hour work that will be assigned to a JOC contract.

9.8. The Bidder’s Adjustment Factors shall include allowances for all costs associated with and incidental to either self-performed or subcontracted Work in accordance


with 2-6, “WORK TO BE DONE.” Examples of costs included in the Bidder’s Adjustment Factors include, but are not limited to:

1. Overhead, profit, bond premiums, insurance, mobilization of any kind to include equipment, all Federal, State and Local taxes, and the cost of doing business in and for the City.

2. Preparation of all required forms, reports, or documents.

3. Attendance at Site, Contract, or Project meetings for all staff whether Contractor, Subcontractor, Supplier, or truckers.

4. Compliance with laws.

5. Costs to prepare estimates, proposals, submittals, any computer printouts/plots, and Shop Drawings.

6. Purchase and review of Unit Price Books, UPB software, or both, code books, The GREENBOOK, The WHITEBOOK, and any other codes or manuals referenced in the Contract Documents.

7. Labor not directly related to construction such as foreman, superintendent, office staff, safety staff, estimation staff, and project management staff.

8. Review Contract and Task Order documents, order materials, and prepare, negotiate, and finalize proposals.

9. Site visits to collect information, daily Site cleanup and protection.

10. Public information or public interface.

11. Other costs not directly related to installation or construction of a Task Order line item.

9.9. No allowance or payment will be made later for any prices other than RSMeans data or Non-Pre-Priced Item unit prices.

9.10. RSMEANS:

9.10.1. PRICE ADJUSTMENT: The Adjustment Factors shall be firm for 2 years from the Contract Award Date. When using the RSMeans online library, in preparing a Task Order Proposal, the Contractor shall use the R.S. Means quarterly prices in effect on the date that the Task Order RFP is issued. Once a particular Task Order has been approved and issued to the Contractor for performance there will not be any price adjustments considered for the completion of the Task Order.

9.10.2. The Contractor shall subscribe to the RSMeans library and shall use the estimating software to submit the Unit Detail Report and Unit Summary Report through the RSMeans system. For bidding purposes, the contractor may access the online library on a limited basis by accessing the following website: www.rsmeansonline.com.


9.10.3. For Task Orders with Prevailing Wage requirements as indicated in the Task Order RFP, use RSMeans Standard Union Labor Rates in the Task Order Proposals and Task Order change Proposals. Use the RSMeans pricing for the quarter that corresponds with the RFP issue date. Use the RSMeans San Diego pricing for all Task Order Proposals. Use RSMeans “Total O&P” price for all Pre-priced line items. Use the RSMeans English Measurement System of units and the 2010 Master Format for all Task Order Proposals. The “Total O&P” price will be multiplied by the appropriate Adjustment Factor (Normal Working Hour or Other than Normal Working Hour).

9.10.4. Where possible, the Contractor shall use UPB line items that are inclusive of labor, material, and equipment. UPB line items that include dollar values for services, labor, material, and equipment are deemed to be inclusive of the services, labor, material and equipment required for completing the construction item. For each Task Order, the Contractor shall apply the appropriate labor rates, line items and quantities based on the scope of work required.

10. ONLY ONE BID PER CONTRACTOR SHALL BE ACCCEPTED: No person, firm, or corporation shall be allowed to make, file, or be interested in more than one (1) Bid for the same work unless alternate Bids are called for. A person, firm or corporation who has submitted a subproposal to a Bidder, or who has quoted prices on materials to a Bidder, is not hereby disqualified from submitting a subproposal or quoting prices to other Bidders or from submitting a Bid on its own behalf. Any Bidder who submits more than one Bid will result in the rejection of all Bids submitted.

11. SAN DIEGO BUSINESS TAX CERTIFICATE: The Contractor and Subcontractors, not already having a City of San Diego Business Tax Certificate for the Work contemplated shall secure the appropriate certificate from the City Treasurer, Civic Center Plaza, first floor and submit to the Contract Specialist upon request or as specified in the Contract Documents. Tax Identification numbers for both the Bidder and the listed Subcontractors must be submitted on the City provided forms within these documents.

12. AWARD OF CONTRACT OR REJECTION OF BIDS:

12.1. This Contract may be awarded to the two lowest responsible and reliable Bidders.

12.2. Bidders shall submit two Adjustment Factors to be their competitive Bid price adjustment to the unit prices published in the UPB for Normal Working Hours (NWH) and Other Than Normal Working Hours (ONWH). Incomplete submittals may be rejected as being nonresponsive.

12.3. The City reserves the right to reject any or all Bids, to waive any informality or technicality in Bids received, and to waive any requirements of these specifications as to Bidding procedure.

12.4. Bidders will not be released on account of their errors of judgment. Bidders may be released only upon receipt by the City, within 3 Working days of the Bid opening,


written notice from the Bidder which shows proof of honest, credible, clerical error of a material nature, free from fraud or fraudulent intent; and of evidence that reasonable care was observed in the preparation of the Bid.

12.5. A Bidder who is not selected for Contract award may protest the award of a Contract to another Bidder by submitting a written protest in accordance with the San Diego Municipal Code.

12.6. The City of San Diego will not discriminate in the award of Contracts with regard to race, religion, color, national origin, ancestry, physical handicap, marital status, sex or age.

12.7. Each Bid package properly signed as required by these specifications shall constitute a firm offer, which may be accepted by the City within the time specified in the Notice Inviting Bids.

12.8. The City reserves the right to evaluate all Bids and determine the lowest Bidder on the basis of any proposed alternates or options as detailed herein.

13. BID RESULTS:

13.1. The availability of the Bid results on the City’s eBidding system shall constitute the public announcement of the apparent low Bidder. In the event that the apparent low Bidder is subsequently deemed non-responsive or non-responsible, a notation of such will be made on the eBidding system. The ranking and new Apparent Low Bidder will be adjusted accordingly.

13.2. To obtain Bid results, visit the City’s eBidding site, request results via e-mail to the City Contact person listed on the cover page of this document; or by U.S. Postal Service by including a self-addressed, stamped envelope, referencing the Bid number. Bid results cannot be given over the telephone.

14. THE CONTRACT:

14.1. The Bidder to whom award is made shall execute a written Contract with the City of San Diego and furnish insurance certificates specified by the City within 14 Days after receipt by Bidder of a form of Contract for execution, unless an extension of time is granted to the Bidder in writing.

14.2. If the Bidder takes longer than 14 Days to fulfill these requirements, then the additional time taken shall be added to the Bid guarantee. The Contract shall be made in the form adopted by the City, which includes the provision that no claim or suit whatsoever shall be made or brought by Contractor against any officer, agent, or employee of the City for or on account of anything done or omitted to be done in connection with this Contract, nor shall any such officer, agent, or employee be liable hereunder.


14.3. If the Bidder to whom the award is made fails to enter into the contract, the City Council may declare by resolution that the bidder is debarred and prohibited from bidding on City procurement and Public Works projects for a period of no less than one year, as provided by San Diego Municipal Code §22.0807 (d) (2).

14.4. Pursuant to the San Diego City Charter section 94, the City may only award a Public Works Contract to the lowest responsible and reliable Bidder. The City will require the Apparent Low Bidder to (i) submit information to determine the Bidder’s responsibility and reliability, (ii) execute the Contract in form provided by the City, and (iii) furnish insurance certificates specified by the City within 14 Days, unless otherwise approved by the City, in writing after the Bidder receives notification from the City, designating the Bidder as the Apparent Low Bidder and formally requesting the above mentioned items.

14.5. The award of the Contract is contingent upon the satisfactory completion of the above-mentioned items and becomes effective upon the signing of the Contract by the Mayor or designee and approval as to form the City Attorney’s Office. If the Apparent Low Bidder does not execute the Contract or submit required documents and information, the City may award the Contract to the next lowest responsible and reliable Bidder who shall fulfill every condition precedent to award. A corporation designated as the Apparent Low Bidder shall furnish evidence of its corporate existence and evidence that the officer signing the Contract and bond for the corporation is duly authorized to do so.

15. EXAMINATION OF PLANS, SPECIFICATIONS, AND SITE OF WORK: The Bidder shall examine carefully the Project Site, the Plans and Specifications, the RSMeans data, other materials as described in the Special Provisions, Section 3-9, “TECHNICAL STUDIES AND SUBSURFACE DATA”, and the proposal forms (i.e., Bidding Documents). The submission of a Bid or JOC Task Order Proposal shall be conclusive evidence that the Bidder has investigated and is satisfied as to the conditions to be encountered, as to the character, quality, and scope of Work, the quantities of materials to be furnished, and as to the requirements of the Bidding Documents Proposal, Plans, and Specifications.

16. CITY STANDARD PROVISIONS: This Contract is subject to the following standard provisions. See The WHITEBOOK for details.

16.1. The City of San Diego Resolution No. R-277952 adopted on May 20, 1991 for a Drug Free Workplace.

16.2. The City of San Diego Resolution No. R-282153 adopted on June 14, 1993 related to the Americans with Disabilities Act.

16.3. The City of San Diego Municipal Code §22.3004 for Pledge of Compliance.

16.4. The City of San Diego’s Labor Compliance Program and the State of California Labor Code §§1771.5(b) and 1776.


16.5. Sections 1777.5, 1777.6, and 1777.7 of the State of California Labor Code concerning the employment of apprentices by Contractors and subcontractors performing public works Contracts.

16.6. The City’s Equal Benefits Ordinance (EBO), Chapter 2, Article 2, Division 43 of The San Diego Municipal Code (SDMC).

16.7. The City’s Information Security Policy (ISP) as defined in the City’s Administrative Regulation 90.63.

17. PRE-AWARD ACTIVITIES:

17.1. The Contractor selected by the City to execute a Contract for this Work shall submit the required documentation as specified herein and in the Notice of Intent to Award. Failure to provide the information as specified may result in the Bid being rejected as non-responsive.

17.2. The decision that Bid is non-responsive for failure to provide the information required within the time specified shall be at the sole discretion of the City.

18. SUBMITTAL OF “OR EQUAL” ITEMS: See Section 4-6, “Trade Names or Equals” in The WHITEBOOK and as amended in the SSP.

19. SUBCONTRACT LIMITATIONS: The Bidder’s attention is directed to Standard Specifications for Public Works Construction, Section 3-2, “SELF-PERFORMANCE” in The GREENBOOK and as amended in the SSP which requires the Contractor to self-perform not less than the specified amount per each Task Order.

20. REFERENCE STANDARDS: Except as otherwise noted or specified, the Work shall be completed in accordance with the following standards:

Title Edition Document Number

Standard Specifications for Public Works Construction (“The GREENBOOK”) http://www.greenbookspecs.org/

2018 PWPI010119-01

City of San Diego Standard Specifications for Public Works Construction (“The WHITEBOOK”)* https://www.sandiego.gov/publicworks/edocref/greenbook

2018 PWPI010119-02

City of San Diego Standard Drawings* https://www.sandiego.gov/publicworks/edocref/standarddraw

2018 PWPI010119-03

Citywide Computer Aided Design and Drafting (CADD) Standards https://www.sandiego.gov/publicworks/edocref/drawings

2018 PWPI010119-04


Title Edition Document Number

California Department of Transportation (CALTRANS) Standard Specifications – http://www.dot.ca.gov/des/oe/construction-Contract-standards.html

2018 PWPI030119-05

CALTRANS Standard Plans http://www.dot.ca.gov/des/oe/construction-Contract-standards.html

2018 PWPI030119-06

California Manual on Uniform Traffic Control Devices Revision 3 (CA MUTCD Rev 3) - http://www.dot.ca.gov/trafficops/camutcd/

2014 PWPI030119-07

NOTE: *Available online under Engineering Documents and References at: http://www.sandiego.gov/publicworks/edocref/index.shtml

*Electronic updates to the Standard Drawings may also be found in the link above.

21. JOC CONTRACT TERM AND VALUE: Upon issuance of a contract, the City guarantees the Contractor a minimum value of total Work (Minimum Contract Amount) of $5,000, up to a potential maximum value of total Work (Maximum Contract Amount) of $4,500,000. The term of the Contract is 24 months for the issuance of Task Orders or the expenditure of the $4,500,000 maximum contract amount, whichever occurs first. All work pursuant to any Task Order issued shall be completed within the time frame specified on the Task Order Notice to Proceed. The total time for the issuance of Tasks and completion of the associated Work shall not exceed five (5) years.

22. TASK ORDERS:

22.1. As the need for Work arises, the City will assign Task Orders by sending to the JOC contractor a Task Order Scope of Work. A Scope Meeting to take place on-site between the City and the JOC Contractor will be scheduled.

22.2. The JOC Contractor must accept and complete ALL Task Orders assigned to them by the City. JOC Contractors may not opt-out or decline to accept a Task Order. JOC Contractors who decline to accept a Task Order will be considered in breach of this Contract and may be defaulted.

22.3. JOC Contracts are indefinite in quantity and scope at the time of Bid. Task Orders will be assigned or issued as the need arises for the Work. The Work items in the UPB with pre-established pricing are called Pre-Priced Items. Task Orders may also include Non-Pre-Priced Items that are not included in the UPB. The Contractor will be required to obtain at least 2 competitive quotes from outside sources for all Non-Pre-Priced Items.


23. TASK ORDER PROPOSAL:

23.1. The JOC Contractor shall present an estimate for the Task Order scope of work using any appropriate Pre-Priced and Non-Pre-Priced items. The JOC Contractor shall, as requested by the City, prepare a cost proposal, reports, or both in electronic format or as directed by the City, and submit them to the City’s Public Works Contracts Department within the time frame established in the Task Order Request for Proposal.

23.2. Upon receipt of the Contractor’s estimate or cost proposal, the City will compare it to the City’s estimate of costs for the Scope of Work. If the JOC Contractor’s cost proposal is deemed acceptable, the City may release the Task Order by issuing an NTP at the agreed-upon price.

23.3. The JOC contractor will be required to meet all deadlines and timelines established in the Task Order documents.

23.4. If the City does not accept the cost proposal, the City and the Contractor may negotiate the proposal until an agreement is reached.

24. TASK ORDER PRICE:

24.1.1. Task Order prices are calculated by selecting applicable construction items from the RSMeans and multiplying the prices for those construction items by the appropriate quantities and Adjustment Factors in effect as of the date of the Task Order RFP.

24.1.2. For construction items not included in the RSMeans, the JOC Contractor will obtain two competitive quotes for the installed price from outside vendors, suppliers or subcontractors and multiply the lowest quote by the appropriate Adjustment Factor. The competitive quotes will include labor, material, equipment, and services to install startup and test the item. Competitive quotes will be valid for 6 months from the time they are received by the City. The City may obtain additional quotes from outside sources for comparison and may use those quotes as a basis for payment.

24.1.3. The sum of the appropriate Pre-priced and Non-Pre-priced Construction Items multiplied by the appropriate quantities and applicable Adjustment Factor will establish a firm, fixed price for the Task Order. The Contractor will be required to apply the appropriate and actual construction line items and quantities required in the Task Order Scope of Work.

25. TASK ORDER SUBCONTRACTOR INFORMATION:

25.1. LISTING OF SUBCONTRACTORS. In accordance with the requirements provided in the "Subletting and Subcontracting Fair Practices Act" of the California Public Contract Code, the Bidder shall provide the NAME and ADDRESS of each Subcontractor who will perform Work, labor, render services or who specially fabricates and installs a portion of the Work or improvement, in an amount in


excess of 0.5% of the Contractor's total Bid. The Bidder shall also state within the description, whether the Subcontractor is a CONSTRUCTOR, CONSULTANT or SUPPLIER. The Bidder shall state the DIR REGISTRATION NUMBER for all Subcontractors and shall further state within the description, the PORTION of the Work which will be performed by each Subcontractor under this Contract. The Contractor shall list only one Subcontractor for each portion of the Work. The DOLLAR VALUE of the total Bid to be performed shall be stated for all Subcontractors listed. Failure to comply with this requirement may result in the Bid being rejected as non-responsive and ineligible for award. The Bidder's attention is directed to the Special Provisions - General; Paragraph 2-3 Subcontractors, which stipulates the percent of the Work to be performed with the Bidders' own forces. The Bidder shall list all SLBE, ELBE, DBE, DVBE, MBE, WBE, OBE, SDB, WoSB, HUBZone, and SDVOSB Subcontractors for which Bidders are seeking recognition towards achieving any mandatory, voluntary (or both) Subcontracting participation goals.

25.1.1. Additionally, pursuant to California Senate Bill 96 and in accordance with the requirements of Labor Code sections 1771.1 and 1725.5, by submitting a Bid or proposal to the City, Contractor is certifying that he or she has verified that all Subcontractors used on this public work project are registered with the California Department of Industrial Relations (DIR). The Bidder shall provide the name, address, license number, DIR registration number of any Subcontractor – regardless of tier - who will perform work, labor, render services or specially fabricate and install a portion [type] of the work or improvement pursuant to the Contract.

25.2. LISTING OF SUPPLIERS. Any Bidder seeking the recognition of Suppliers of equipment, materials, or supplies obtained from third party Suppliers towards achieving any mandatory or voluntary (or both) Subcontracting participation goals shall provide, at a minimum, the NAME, LOCATION (CITY), DIR REGISTRATION NUMBER and the DOLLAR VALUE of each Supplier. The Bidder will be credited up to 60% of the amount to be paid to the Suppliers for materials and supplies unless vendor manufactures or substantially alters materials and supplies, in which case, 100% will be credited. The Bidder is to indicate within the description whether the listed firm is a Supplier or manufacturer. If no indication is provided, the listed firm will be credited at 60% of the listed dollar value for purposes of calculating the Subcontractor Participation Percentage.

26. SUBCONTRACTING PARTICIPATION PERCENTAGES:

26.1. The City has incorporated a mandatory subcontractor participation percentage to enhance competition and maximize subcontracting opportunities.

26.2. The mandatory subcontracting percentage for each Task Order is 10% forSLBE-ELBE firms, unless specified otherwise by the Task Order RFP.


26.3. Final Task Order costs will be included in the calculation.

26.4. The Contractor shall maintain a participation level at or above the mandatory percentage continuously throughout the term of the contract.

26.5. The Contractor shall submit as requested, during the term of the contract, a subcontractor participation report as required by the City detailing the participation levels for each certification and overall by each Task Order and overall contract.

27. TASK ORDER CHANGES: Line items and quantities for unforeseen conditions and changes in the Work may be requested through a Task Order change only if it is determined during construction that the additional quantities are actually required to complete the Task Order. The City may issue Task Order changes for scope changes and to claim credit for items not actually installed, completed, or cancelled.

28. TASK ORDERS COMMERCIALLY FUNDED: For any tasks that are funded utilizing Commercial Paper (CP), Contractor shall, at their expense, substitute for any money withheld by the City (Retention), and securities equivalent to the amount being withheld. As to any such security or securities so substituted for monies withheld, the Contractor shall be the beneficial owner of same and shall receive any accrued interest. Securities shall, at Contractor’s expense, be deposited with the City or with a State or Federally Chartered bank as the escrow agent who shall pay such monies to you upon notification by the Engineer that payment can be made. Such notification shall be given at the expiration of 35 Calendar Days from the date of Acceptance, or as prescribed by law, provided however, that there shall be a continued retention of the necessary securities to cover such amounts as are required by law to be withheld by properly executed and filed notices to stop payment, or as may be authorized by the Contract to be further retained.

29. AVAILABILITY OF PLANS AND SPECIFICATIONS: Contract Documents may be obtained by visiting the City’s website: http://www.sandiego.gov/cip/. Plans and Specifications for this Contract are also available for review in the office of the City Clerk or Public Works Contracts.

Job Order Contract (JOC) Building Improvements 21 | Page Attachments

ATTACHMENTS

Job Order Contract (JOC) Building Improvements 22 | Page Attachment A – Scope of Work (Rev. Jun. 2019)

ATTACHMENT A

SCOPE OF WORK

Job Order Contract (JOC) Building Improvements 23 | Page Attachment A – Scope of Work (Rev. Jun. 2019)

SCOPE OF WORK

1. SCOPE OF WORK:

Work will include a variety of detailed repair and construction tasks and specifications that have pre-established unit prices listed in the RSMeans library. The RSMeans library pricing incorporates the use of experienced labor, high quality materials, local activity, climate, and geographic factors. All Work pursuant to this Contract will be performed for the City of San Diego. The Work will involve the repair, modernization and/or construction of public buildings in a JOC Task Order RFP.

1.1 The Contractor shall furnish all management, documentation, design, and incidental drawings (as required), labor, materials, and equipment needed to perform the Work.

1.2 The Work shall be performed in accordance with the JOC Task Order RFP Scope of Work and other requirements.

2. LOCATION OF WORK: Refer to the Task Order Documents.

3. CONTRACT TERM: The Contract Term is two (2) years for the issuance of Task Orders. All work pursuant to any task order issued shall be completed within the time frame specified on the Task Order Notice to Proceed. The total time for the issuance of Tasks and completion of the associated Work shall not exceed five (5) years.

Job Order Contract (JOC) Building Improvements 24 | Page Attachment B – Reserved

ATTACHMENT B

RESERVED

Job Order Contract (JOC) Building Improvements 25 | Page Attachment C – Reserved

ATTACHMENT C

RESERVED

Job Order Contract (JOC) Building Improvements 26 | Page Attachment D – Prevailing Wage (Rev. Jun. 2019)

ATTACHMENT D

PREVAILING WAGE


ATTACHMENT D

PREVAILING WAGE

1. PREVAILING WAGE RATES: Pursuant to San Diego Municipal Code section 22.3019, construction, alteration, demolition, repair and maintenance work performed under this Contract is subject to State prevailing wage laws. For construction work performed under this Contract cumulatively exceeding $25,000 and for alteration, demolition, repair and maintenance work performed under this Contract cumulatively exceeding $15,000, the Contractor and its subcontractors shall comply with State prevailing wage laws including, but not limited to, the requirements listed below.

1.1. Compliance with Prevailing Wage Requirements. Pursuant to sections 1720 through 1861 of the California Labor Code, the Contractor and its subcontractors shall ensure that all workers who perform work under this Contract are paid not less than the prevailing rate of per diem wages as determined by the Director of the California Department of Industrial Relations (DIR). This includes work performed during the design and preconstruction phases of construction including, but not limited to, inspection and land surveying work.

1.1.1. Copies of such prevailing rate of per diem wages are on file at the City and are available for inspection to any interested party on request. Copies of the prevailing rate of per diem wages also may be found at http://www.dir.ca.gov/OPRL/DPreWageDetermination.htm. Contractor and its subcontractors shall post a copy of the prevailing rate of per diem wages determination at each job site and shall make them available to any interested party upon request.

1.1.2. The wage rates determined by the DIR refer to expiration dates. If the published wage rate does not refer to a predetermined wage rate to be paid after the expiration date, then the published rate of wage shall be in effect for the life of this Contract. If the published wage rate refers to a predetermined wage rate to become effective upon expiration of the published wage rate and the predetermined wage rate is on file with the DIR, such predetermined wage rate shall become effective on the date following the expiration date and shall apply to this Contract in the same manner as if it had been published in said publication. If the predetermined wage rate refers to one or more additional expiration dates with additional predetermined wage rates, which expiration dates occur during the life of this Contract, each successive predetermined wage rate shall apply to this Contract on the date following the expiration date of the previous wage rate. If the last of such predetermined wage rates expires during the life of this Contract, such wage rate shall apply to the balance of the Contract.


1.2. Penalties for Violations. Contractor and its subcontractors shall comply with California Labor Code section 1775 in the event a worker is paid less than the prevailing wage rate for the work or craft in which the worker is employed. This shall be in addition to any other applicable penalties allowed under Labor Code sections 1720 – 1861.

1.3. Payroll Records. Contractor and its subcontractors shall comply with California Labor Code section 1776, which generally requires keeping accurate payroll records, verifying and certifying payroll records, and making them available for inspection. Contractor shall require its subcontractors to also comply with section 1776. Contractor and its subcontractors shall submit weekly certified payroll records online via the City’s web-based Labor Compliance Program. Contractor is responsible for ensuring its subcontractors submit certified payroll records to the City.

1.3.1. Contractor and their subcontractors shall also furnish records specified in Labor Code section 1776 directly to the Labor Commissioner in the manner required by Labor Code section 1771.4.

1.4. Apprentices. Contractor and its subcontractors shall comply with California Labor Code sections 1777.5, 1777.6 and 1777.7 concerning the employment and wages of apprentices. Contractor is held responsible for the compliance of their subcontractors with sections 1777.5, 1777.6 and 1777.7.

1.5. Working Hours. Contractor and their subcontractors shall comply with California Labor Code sections 1810 through 1815, including but not limited to: (i) restrict working hours on public works contracts to eight hours a day and forty hours a week, unless all hours worked in excess of 8 hours per day are compensated at not less than 1½ times the basic rate of pay; and (ii) specify penalties to be imposed on contractors and subcontractors of $25 per worker per day for each day the worker works more than 8 hours per day and 40 hours per week in violation of California Labor Code sections1810 through 1815.

1.6. Required Provisions for Subcontracts. Contractor shall include at a minimum a copy of the following provisions in any contract they enter into with a subcontractor: California Labor Code sections 1771, 1771.1, 1775, 1776, 1777.5, 1810, 1813, 1815, 1860 and 1861.

1.7. Labor Code Section 1861 Certification. Contractor in accordance with California Labor Code section 3700 is required to secure the payment of compensation of its employees and by signing this Contract, Contractor certifies that “I am aware of the provisions of Section 3700 of the California Labor Code which require every employer to be insured against liability for workers’ compensation or to undertake self-insurance in accordance with the provisions of that code, and I will comply with such provisions before commencing the performance of the work of this Contract.”


1.8. Labor Compliance Program. The City has its own Labor Compliance Program authorized in August 2011 by the DIR. The City will withhold contract payments when payroll records are delinquent or deemed inadequate by the City or other governmental entity, or it has been established after an investigation by the City or other governmental entity that underpayment(s) have occurred. For questions or assistance, please contact the City of San Diego’s Prevailing Wage Unit at 858-627-3200.

1.9. Contractor and Subcontractor Registration Requirements. This project is subject to compliance monitoring and enforcement by the DIR. A contractor or subcontractor shall not be qualified to bid on, be listed in a bid or proposal, subject to the requirements of section 4104 of the Public Contract Code, or engage in the performance of any contract for public work, unless currently registered and qualified to perform public work pursuant to Labor Code section 1725.5 It is not a violation of this section for an unregistered contractor to submit a bid that is authorized by Section 7029.1 of the Business and Professions code or by Section 10164 or 20103.5 of the Public Contract Code, provided the contractor is registered to perform public work pursuant to Section 1725.5 at the time the contract is awarded.

1.9.1. A Contractor’s inadvertent error in listing a subcontractor who is not registered pursuant to Labor Code section 1725.5 in response to a solicitation shall not be grounds for filing a bid protest or grounds for considering the bid non-responsive provided that any of the following apply: (1) the subcontractor is registered prior to bid opening; (2) within twenty-four hours after the bid opening, the subcontractor is registered and has paid the penalty registration fee specified in Labor Code section 1725.5; or (3) the subcontractor is replaced by another registered subcontractor pursuant to Public Contract Code section 4107.

1.9.2. By submitting a bid or proposal to the City, Contractor is certifying that he or she has verified that all subcontractors used on this public work project are registered with the DIR in compliance with Labor Code sections 1771.1 and 1725.5, and Contractor shall provide proof of registration for themselves and all listed subcontractors to the City at the time of bid or proposal due date or upon request.

1.10. Stop Order. For Contractor or its subcontractors engaging in the performance of any public work contract without having been registered in violation of Labor Code sections 1725.5 or 1771.1, the Labor Commissioner shall issue and serve a stop order prohibiting the use of the unregistered contractors or unregistered subcontractor(s) on ALL public works until the unregistered contractor or unregistered subcontractor(s) is registered. Failure to observe a stop order is a misdemeanor.


1.11. List of all Subcontractors. The Contractor shall provide the list of subcontractors (regardless of tier), along with their DIR registration numbers, utilized on this Contract prior to any work being performed; and the Contractor shall provide a complete list of all subcontractors with each invoice. Additionally, Contractor shall provide the City with a complete list of all subcontractors (regardless of tier) utilized on this contract within ten working days of the completion of the contract, along with their DIR registration numbers. The City shall withhold final payment to Construction Management Professional until at least thirty (30) days after this information is provided to the City.

1.12. Exemptions for Small Projects. There are limited exemptions for installation, alteration, demolition, or repair work done on projects of $25,000 or less. The Contractor shall still comply with Labor Code sections 1720 et. seq. The only recognized exemptions are listed below:

1.12.1. Registration. The Contractor will not be required to register with the DIR for small projects. (Labor Code section 1771.1

1.12.2. Certified Payroll Records. The records required in Labor Code section 1776 shall be required to be kept and submitted to the City of San Diego, but will not be required to be submitted online with the DIR directly. The Contractor will need to keep those records for at least three years following the completion of the Contract. (Labor Code section 1771.4).

1.12.3. List of all Subcontractors. The Contractor shall not be required to hire only registered subcontractors and is exempt from submitting the list of all subcontractors that is required in section 1.11 above. (Labor code section 1773.3).

Job Order Contract (JOC) Building Improvements 31 | Page Attachment E – Supplementary Special Provisions (Rev. July 2019)

ATTACHMENT E

SUPPLEMENTARY SPECIAL PROVISIONS



The following Supplementary Special Provisions (SSP) modifies the following documents:

1. The 2018 Edition of the Standard Specifications for Public Works Construction (The “GREENBOOK”).

2. The 2018 Edition of the City of San Diego Standard Specifications for Public Works Construction (The “WHITEBOOK”), including the following:

a) General Provisions (A) for all Construction Contracts.

b) General Provisions (C) for Job Order Contracting (JOC).

SECTION 1 – GENERAL, TERMS, DEFINITIONS, ABBREVIATIONS, UNITS OF MEASURE, AND SYMBOLS

1-2 TERMS AND DEFINITIONS. To the “WHITEBOOK”, item 54, “Normal Working Hours”, ADD the following:

The Normal Working Hours will be identified in each Task Order.

To the “WHITEBOOK”, item 43, DELETE in its entirety and SUBSTITUTE with the following:

43. Field Order - A Field Order is a written agreement by the Engineer to compensate you for Work items in accordance with 2-8, “EXTRA WORK” or 2-9, “CHANGED CONDITIONS”. A Field Order does not change the Contract Price, Contract Time, or the scope intent of the Contract.

SECTION 2 - SCOPE OF THE WORK

2-2 PERMITS, FEES, AND NOTICES. To the “WHITEBOOK”, ADD the following:

2. The City will obtain, at no cost to you, the following permits:

a) Refer to Task Order Documents.

SECTION 3 – CONTROL OF THE WORK

3-2 SELF-PERFORMANCE. To the “GREENBOOK”, DELETE in its entirety and SUBSTITUTE with the following:

1. The self performance percentage requirement will be waived for Prime Contractors meeting the Class B License requirement of this Contract.


3-8.7 Contractor’s Quality Control Plan (QCP). To the “WHITEBOOK”, ADD the following:

7. The establishment and implementation of a Quality Control Plan (QCP), as defined in the standard specifications, shall be required for this Contract. Refer to Task Order Documents.

3-9 TECHNICAL STUDIES AND SUBSURFACE DATA. To the “WHITEBOOK”, ADD the following:

5. In preparation of the Contract Documents, the designer has relied upon the following reports of explorations and tests at the Work Site:


3-13.3 Warranty. To the “WHITEBOOK”, item 1, DELETE in its entirety and SUBSTITUTE with the following:

1. You shall warranty and repair all defective materials and workmanship for a period of 1 year. This call back warranty period shall start on the date the Work was accepted by the City unless the City had beneficial use of the project (excluding water, sewer, and storm drain projects). In addition, you shall warranty the Work against all latent defects for a period of 10 years and patent defects for a period of 4 years.

3-15.2 Integration of the Work with Separate Contractors. To the “WHITEBOOK”, ADD the following:

2. The list of Separate Contractors includes:


3-15.3 Coordination. To the “WHITEBOOK”, ADD the following:

2. Other adjacent City projects may be scheduled for construction for the same time period in the vicinity of a Task Order. Coordinate the Work with the adjacent projects as listed in the Task Order Documents.

SECTION 4 - CONTROL OF MATERIALS

4-1.3.4 Specialty Inspection Paid for by the Contractor. To the “WHITEBOOK”, ADD the following:

2. The specialty inspections required are listed as follows:



4-3.6 Preapproved Materials. To the “WHITEBOOK”, ADD the following:

3. You shall submit in writing a list of all products to be incorporated in the Work that are on the AML.

4-6 TRADE NAMES. To the “WHITEBOOK”, ADD the following:

11. You shall submit your list of proposed substitutions for an “equal” item no later than 5 Working Days after the issuance of the Task Order Notice to Proceed (NTP) and on the City’s Product Submittal Form available at:

http://www.sandiego.gov/publicworks/edocref/index.shtml

SECTION 5 – LEGAL RELATIONS AND RESPONSIBILITIES

5-4 INSURANCE. To the “GREENBOOK”, DELETE in its entirety and SUBSTITUTE with the following:

5-4 INSURANCE.

1. The insurance provisions herein shall not be construed to limit your indemnity obligations contained in the Contract.

5-4.1 Policies and Procedures.

1. You shall procure the insurance described below, at its sole cost and expense, to provide coverage against claims for loss including injuries to persons or damage to property, which may arise out of or in connection with the performance of the Work by you, your agents, representatives, officers, employees or Subcontractors.

2. Insurance coverage for property damage resulting from your operations is on a replacement cost valuation. The market value will not be accepted.

3. You shall maintain this insurance for the duration of this Contract and at all times thereafter when you are correcting, removing, or replacing Work in accordance with this Contract. Your liabilities under the Contract, e.g., your indemnity obligations, is not deemed limited to the insurance coverage required by this Contract.

4. The payment for insurance shall be included in the Contract Price as bid by you. Except as specifically agreed to by the City in writing, you are not entitled to any additional payment. Do not begin any Work under this Contract until you have provided and the City has approved all required insurance.

5. Policies of insurance shall provide that the City is entitled to 30 Days (10 Days for cancellation due to non-payment of premium) prior written notice of cancellation or non-renewal of the policy. Maintenance of specified insurance coverage is a material element of the Contract. Your failure to maintain or


renew coverage or to provide evidence of renewal during the term of the Contract may be treated by the City as a material breach of the Contract.

5-4.2 Types of Insurance.

5-4.2.1 Commercial General Liability Insurance.

1. Commercial General Liability Insurance shall be written on the current version of the ISO Occurrence form CG 00 01 07 98 or an equivalent form providing coverage at least as broad.

2. The policy shall cover liability arising from premises and operations, XCU (explosions, underground, and collapse), independent contractors, products/completed operations, personal injury and advertising injury, bodily injury, property damage, and liability assumed under an insured’s contract (including the tort liability of another assumed in a business contract).

3. There shall be no endorsement or modification limiting the scope of coverage for either “insured vs. insured” claims or contractual liability. You shall maintain the same or equivalent insurance for at least 10 years following completion of the Work.

4. All costs of defense shall be outside the policy limits. Policy coverage shall be in liability limits of not less than the following:

General Annual Aggregate Limit Limits of Liability

Other than Products/Completed Operations $2,000,000

Products/Completed Operations Aggregate Limit $2,000,000

Personal Injury Limit $1,000,000

Each Occurrence $1,000,000

5-4.2.2 Commercial Automobile Liability Insurance.

1. You shall provide a policy or policies of Commercial Automobile Liability Insurance written on the current version of the ISO form CA 00 01 12 90 or later version or equivalent form providing coverage at least as broad in the amount of $1,000,000 combined single limit per accident, covering bodily injury and property damage for owned, non-owned, and hired automobiles (“Any Auto”).

2. All costs of defense shall be outside the limits of the policy.

5-4.2.5 Contractors Builders Risk Property Insurance..

1. You shall provide at your expense, and maintain until Final Acceptance of the Work, a Special Form Builders Risk Policy or Policies. This insurance shall be in an amount equal to the replacement cost of the completed Work (without deduction for depreciation) including the cost of excavations, grading, and filling. The policy or policies limits shall be 100% of this Contract value of the Work plus


15% to cover administrative costs, design costs, and the costs of inspections and construction management.

2. Insured property shall include material or portions of the Work located awayfrom the Site but intended for use at the Site and shall cover material or portionsof the Work in transit. The policy or policies shall include as insured propertyscaffolding, falsework, and temporary buildings located at the Site. The policy orpolicies shall cover the cost of removing debris, including demolition.

3. The policy or policies shall provide that all proceeds thereunder shall be payableto the City as Trustee for the insured, and shall name the City, the Contractor,Subcontractors, and Suppliers of all tiers as named insured. The City, as Trustee,will collect, adjust, and receive all monies which may become due and payableunder the policy or policies, may compromise any and all claims thereunder, and will apply the proceeds of such insurance to the repair, reconstruction, orreplacement of the Work.

4. Any deductible applicable to the insurance shall be identified in the policy orpolicies documents and responsibility for paying the part of any loss not covered because of the application of such deductibles shall be apportioned among theparties except for the City as follows: if there is more than one claimant for asingle occurrence, then each claimant shall pay a pro-rata share of the peroccurrence deductible based upon the percentage of their paid claim to the totalpaid for insured. The City shall be entitled to 100% of its loss. You shall pay theCity any portion of that loss not covered because of a deductible at the sametime the proceeds of the insurance are paid to the City as trustee.

5. Any insured, other than the City, making claim to which a deductible applies shallbe responsible for 100% of the loss not insured because of the deductible.Except as provided for under California law, the policy or policies shall providethat the City is entitled to 30 Days prior written notice (10 Days for cancellationdue to non-payment of premium) of cancellation or non-renewal of the policy orpolicies.

5-4.3 Rating Requirements. Except for the State Compensation Insurance Fund, all insurance required by this Contract as described herein shall be carried only by responsible insurance companies with a rating of, or equivalent to, at least “A-, VI” by A.M. Best Company, that are authorized by the California Insurance Commissioner todo business in the State, and that have been approved by the City.

5-4.3.1 Non-Admitted Carriers. The City will accept insurance provided by non-admitted, “surplus lines” carriers only if the carrier is authorized to do business in the State and is included on the List of Approved Surplus Lines Insurers (LASLI list).

All policies of insurance carried by non-admitted carriers shall be subject to all of the requirements for policies of insurance provided by admitted carriers described herein.

5-4.4 Evidence of Insurance. Furnish to the City documents e.g., certificates of insurance and endorsements evidencing the insurance required herein, and furnish renewal documentation prior to expiration of this insurance. Each required document shall be signed by the insurer or a person authorized by the insurer to bind coverage on its


behalf. We reserve the right to require complete, certified copies of all insurance policies required herein.

5-4.5 Policy Endorsements.

5-4.5.1 Commercial General Liability Insurance.

5-4.5.1.1 Additional Insured.

1. You shall provide at your expense policy endorsement written on the current version of the ISO Occurrence form CG 20 10 11 85 or an equivalent form providing coverage at least as broad.

2. To the fullest extent allowed by law e.g., California Insurance Code §11580.04, the policy shall be endorsed to include the City and its respective elected officials, officers, employees, agents, and representatives as additional insured.

3. The additional insured coverage for projects for which the Engineer’s Estimate is $1,000,000 or more shall include liability arising out of:

a) Ongoing operations performed by you or on your behalf, b) your products, c) your Work, e.g., your completed operations performed by you or on

your behalf, or d) premises owned, leased, controlled, or used by you.

4. The additional insured coverage for projects for which the Engineer’s Estimate is less than $1,000,000 shall include liability arising out of:

a) Ongoing operations performed by you or on your behalf, b) your products, or c) premises owned, leased, controlled, or used by you.

5-4.5.1.2 Primary and Non-Contributory Coverage. The policy shall be endorsed to provide that the coverage with respect to operations, including the completed operations, if appropriate, of the Named Insured is primary to any insurance or self-insurance of the City and its elected officials, officers, employees, agents and representatives. Further, it shall provide that any insurance maintained by the City and its elected officials, officers, employees, agents and representatives shall be in excess of your insurance and shall not contribute to it.

5-4.5.1.3 Project General Aggregate Limit. The policy or policies shall be endorsed to provide a Designated Construction Project General Aggregate Limit that will apply only to the Work. Only claims payments which arise from the Work shall reduce the Designated Construction Project General Aggregate Limit. The Designated Construction Project General Aggregate Limit shall be in addition to the aggregate limit provided for the products-completed operations hazard.


5-4.5.2 Commercial Automobile Liability Insurance.

5-4.5.2.1 Additional Insured. Unless the policy or policies of Commercial Auto Liability Insurance are written on an ISO form CA 00 01 12 90 or a later version of this form or equivalent form providing coverage at least as broad, the policy shall be endorsed to include the City and its respective elected officials, officers, employees, agents, and representatives as additional insured, with respect to liability arising out of automobiles owned, leased, hired or borrowed by you or on your behalf. This endorsement is limited to the obligations permitted by California Insurance Code §11580.04.

5-4.5.5 Builders Risk Endorsements.

5-4.5.5.1 Waiver of Subrogation. The policy or policies shall be endorsed to provide that the insurer will waive all rights of subrogation against the City, and its respective elected officials, officers, employees, agents, and representatives for losses paid under the terms of the policy or policies and which arise from Work performed by the Named Insured for the City.

5-4.5.5.2 Builders Risk – Partial Utilization. If the City desires to occupy or use a portion or portions of the Work prior to Acceptance in accordance with this Contract, the City will notify you and you shall immediately notify your Builder's Risk insurer and obtain an endorsement that the policy or policies shall not be cancelled or lapse on account of any such partial use or occupancy. You shall obtain the endorsement prior to the City’s occupation and use.

5-4.6 Deductibles and Self-Insured Retentions. You shall pay for all deductibles and self-insured retentions. You shall disclose deductibles and self-insured retentions to the City at the time the evidence of insurance is provided.

5-4.7 Reservation of Rights. The City reserves the right, from time to time, to review your insurance coverage, limits, deductibles and self-insured retentions to determine if they are acceptable to the City. The City will reimburse you, without overhead, profit, or any other markup, for the cost of additional premium for any coverage requested by the Engineer but not required by this Contract.

5-4.8 Notice of Changes to Insurance. You shall notify the City 30 Days prior to any material change to the policies of insurance provided under this Contract.

5-4.9 Excess Insurance. Policies providing excess coverage shall follow the form of the primary policy or policies e.g., all endorsements.

5-4.11 Workers’ Compensation Insurance and Employers Liability Insurance.

1. In accordance with the provisions of §3700 of the California Labor Code, you shall provide at your expense Workers’ Compensation Insurance and Employers Liability Insurance to protect you against all claims under applicable state workers compensation laws. The City, its elected officials, and employees will not be responsible for any claims in law or equity occasioned by your failure to comply with the requirements of this section.


2. Limits for this insurance shall be not less than the following:

Workers’ Compensation Statutory Employers Liability

Bodily Injury by Accident $1,000,000 each accident

Bodily Injury by Disease $1,000,000 each employee

Bodily Injury by Disease $1,000,000 policy limit

3. By signing and returning the Contract you certify that you are aware of the provisions of §3700 of the Labor Code which requires every employer to be insured against liability for worker’s compensation or to undertake self-insurance in accordance with the provisions of that code and you shall comply with such provisions before commencing the Work as required by §1861 of the California Labor Code.

5-4.11.1. Waiver of Subrogation. The policy or policies shall be endorsed to provide that the insurer will waive all rights of subrogation against the City and its respective elected officials, officers, employees, agents, and representatives for losses paid under the terms of the policy or policies and which arise from Work performed by the Named Insured for the City.

ADD: 5-10.1.3 Weekly Updates Recipients.

1. Submit a weekly correspondence with updates, traffic control issues and locations, lane closures, and any other pertinent information (with additional contact names given during award process) to the following recipients:


5-10.2.1 Public Notice by Contractor. To the “WHITEBOOK”, ADD the following:

9. Door hangers shall include the funding source if project is funded in part by State Gas Tax Revenue (SB1). Refer to Task Order Documents.

5-10.3 Exclusive Community Liaison Services. To the “WHITEBOOK”, ADD the following:

2. You may be required to retain an Exclusive Community Liaison for the Project that shall implement Work in accordance with the specifications described in 5-10.2 “Community Outreach Services” and 5-10.3 “Exclusive Community Liaison Services”. Refer to Task Order Documents.

5-11 NEWSLETTER. To the “WHITEBOOK”, ADD the following:

2. You shall provide the following information:



5-13 ELECTRONIC COMMUNICATION. To the “WHITEBOOK”, ADD the following:

2. Virtual Project Manager shall be used on this Contract. For more information,refer to the VPM traning videos at the location below:

https://www.sandiego.gov/publicworks/edocref

5-15.16.1 Monitoring of Potentially Petroleum Contaminated Soil. To the “WHITEBOOK”, ADD the following:

5. When applicable, the areas of known or suspected contamination will bespecified in the Task Order Documents.

SECTION 6 – PROSECUTION AND PROGRESS OF THE WORK

6-1.1 Construction Schedule. To the “WHITEBOOK”, item 1, subsection “s”, ADD the following:

iii. The Engineer may refuse to recommend the whole or part of any monthlypayment if, in the Engineer’s opinion, your failure or refusal to provide therequired Schedule and cash flow forecast information precludes a properevaluation of your ability to complete the Project within the Contract Time andamount.

iv. Refer to the Sample City Invoice materials in the Task Order Documents anduse the format shown.

To the “WHITEBOOK”, ADD the following:

3. When applicable, the Calendar Days for Plant Establishment Period isincluded in the stipulated Contract Time and shall begin with the acceptanceof installation of the vegetation plan in accordance with Section 801-6,“MAINTENANCE AND PLANT ESTABLISHMENT”. Refer to the Task OrderDocuments.

6-1.5.2 Excusable Non-Compensable Delays. To the “WHITEBOOK”, DELETE in its entirety and SUBSTITUTE with the following:

6-1.5.2 Excusable Non-Compensable and Concurrent Delays.

1. The City shall only issue an extension of time for Excusable Delays that meetthe requirements of 6-4.2, “Extensions of Time” for the followingcircumstances:

a) Delays resulting from Force Majeure.

b) Delays caused by weather.

c) Delays caused by changes to County, State, or Federal law.


2. When a non-excusable delay is concurrent with an Excusable Delay, you shallnot be entitled to an extension of Contract Time for the period the non-excusable delay is concurrent with the Excusable Delay.

3. When an Excusable Non-Compensable Delay is concurrent with an ExcusableCompensable Delay, you shall be entitled to an extension of Contract Time,but shall not be entitled to compensation for the period the Excusable Non-Compensable Delay is concurrent with the Excusable Compensable Delay.

6-2.1 Moratoriums. To the “WHITEBOOK”, ADD the following:

3. Do not Work in the areas where there is currently a moratorium issued by theCity. The areas subject to moratorium are listed below:


6-4.2 Extensions of Time. To the “WHITEBOOK”, DELETE in its entirety and SUBSTITUTE with the following:

1. The Contract Time shall not be modified except by Change Order.

2. You shall notify the City in writing within 1 Working Day after the occurrenceand discovery of an event that impacts the Project Schedule.

a) If you believe this event requires a Change Order, you shall submit awritten Change Order request with a report to the City that explainsthe request for Change Order within 5 Working Days. The ChangeOrder request must include supporting data, a general description ofthe discovery, the basis for extension, and the estimated length ofextension. The City may grant an extension of time, in writing, for theChange Order request if you require more time to gather and analyzedata.

3. The Engineer shall not grant an extension of Contract Time in accordance with6-1.5, “Excusable Delays” unless you demonstrate, through an analysis of thecritical path, the following:

a) The event causing the delay impacted the activities along the Project’scritical path.

b) The increases in the time to perform all or part of the Project beyondthe Contract Time arose from unforeseeable causes beyond yourcontrol and without your fault or negligence and that all project floathas been used.


4. Any modifications to the Contract Time will be incorporated into the weekly document that the Engineer issues that stipulates the Contract Time. If you do not agree with this document, submit to the Engineer for review a written protest supporting your objections to the document within 30 Calendar Days after receipt of the statement. Your failure to file a timely protest shall constitute your acceptance of the Engineer’s weekly document.

a) Your protest will be considered a claim for time extension and shall be subject to 2-10.1, “Claims”.

6-6.4 Written Notice and Report. To the “WHITEBOOK”, DELETE in its entirety and SUBSTITUTE with the following:

1. Your failure to notify the Resident Engineer within 1 Working Day OR provide a Change Order request within 5 Working Days after the event, in accordance with 6-4.2, “Extensions of Time”, will be considered grounds for refusal by the City to consider such request if your failure to notify prejudices the City in responding to the event.

ADD: 6-6.1.1 Environmental Document.

1. You shall comply with all requirements of the Environmental Document as set forth in the Task Order Documents.

2. Compliance with the City’s environmental document shall be included in the Contract Price, unless separate bid items have been provided.

6-6.2.1 Archaeological and Native American Monitoring Program. To the “WHITEBOOK”, ADD the following:

4. Refer to Task Order Documents if Work by a qualified archaeologist and Native American Monitor is required for this Contract. You shall coordinate your activities and Schedule with the activities and schedules of the archaeologist and Native American monitor. Notify the Engineer before noon of the Working Day before monitoring is required. See 3-5, “INSPECTION” for details.

6-6.2.2 Paleontological Monitoring Program. To the “WHITEBOOK”, ADD the following:

3. Refer to Task Order Documents if Work by a qualified paleontologist is required for this Contract. You shall coordinate your activities and Schedule with the activities and schedules of the paleontologist monitor. Notify the Engineer before noon of the Working Day before monitoring is required. See 3-5, “INSPECTION” for details.


SECTION 7 – MEASUREMENT AND PAYMENT

7-3.9 Field Orders. To the “WHITEBOOK”, DELETE in its entirety and SUBSTITUTE with the following:

1. If the cumulative total of Field Order items of Work does not exceed the “FieldOrders” Bid Item, the City shall pay those Field Orders as shown below:

TABLE 7-3.9

FIELD ORDER LIMITS

Contract Price Maximum Field Order Work

Amount

Less than $100,001 $2,500

$100,001 to $1,000,000 $5,000

$1,000,001 to $5,000,000 $10,000

$5,000,001 to $15,000,000 $20,000

$15,000,001 to $30,000,000 $40,000

Greater than $30,000,000 $50,000

2. Field Order items of Work for contracts greater than $15,000,000 will requireadditional approvals from the City prior to its approval by the ResidentEngineer.

3. The City will issue a Field Order only after the City’s acceptance of the cost ofthe field order amount.

4. Field Orders shall not be used to add scope or to include extensions of timerelated to changes in work.

5. If in the event there is a change related to the critical path on the project whichnecessitates an extension of time and the change amount is within the FieldOrder limits shown on Table 7-3.9, then a Field Order can be issued tocompensate you for the approved costs. Any extensions of time associatedwith the change shall be included in a subsequent Change Order and noadditional compensation shall be granted as part of the change order for theextension of time.

6. The unused portions of Field Orders Bid item shall revert to the City uponAcceptance.


7-3.11 Compensation Adjustments for Price Index Fluctuations. To the “WHITEBOOK” ADD the following:

5. This Contract is not subject to the provisions of The “WHITEBOOK” forCompensation Adjustments for Price Index Fluctuations for paving asphalt.

SECTION 8 - FACILITIES FOR AGENCY PERSONNEL

8-2 FIELD OFFICE FACILITIES. To the “WHITEBOOK”, ADD the following.

2. Refer to Task Order Documents.

SECTION 306 – OPEN TRENCH CONDUIT CONSTRUCTION

ADD: 306-1.1 High-line Phasing.

1. When applicable, build the Project in accordance with the water high-liningphasing shown on the Plans and in phases as follows:


2. When installing pipelines within the City’s streets, for the following streets, thetotal time allowed for the completion of Work shall not exceed 10 WorkingDays per 500 feet of pipeline installation:


SECTION 402 – UTILITIES

402-2 PROTECTION. To the “WHITEBOOK”, item 2, ADD the following:

g) Refer to Task Order Documents for Appendix - Advanced MeteringInfrastructure (AMI) Device Protection for more information on theprotection of AMI devices.

SECTION 601- TEMPORARY TRAFFIC CONTROL FOR CONSTRUCTION AND MAINTENANCE WORK ZONES

601-2.1.2 Engineered Traffic Control Plans (TCP). To the “WHITEBOOK”, ADD the following:

5. Engineered TCP (2 foot x 3 foot size) may be required for the following areas:



SECTION 802 – NATIVE HABITAT PROTECTION, INSTALLATION, MAINTENANCE, AND MONITORING

802-2.1 Project Biologist. To the “WHITEBOOK”, ADD the following:

5. Refer to Task Order Documents for any applicable biological monitoring Workrequired for this Contract. You shall coordinate your activities and Schedulewith the activities and schedules of the Project Biologist.

Job Order Contract (JOC) Building Improvements 46 | Page Attachment E – Supplementary Special Provisions Appendices (Rev. Mar. 2019)


APPENDICES

FOR JOC PROJECTS, TECHNICALS AND/OR APPENDICES WILL BE INCLUDED WITH THE TASK ORDER DOCUMENTS

Job Order Contract (JOC) Building Improvements 47 | Page Attachment F – Reserved

ATTACHMENT F

RESERVED

Job Order Contract (JOC) Building Improvements 48 | Page Attachment G – Contract Agreement (Rev. Jan. 2019)

ATTACHMENT G

CONTRACT AGREEMENT

Job Order Contract (JOC) Building Improvements 51 | Page Certifications and Forms (Rev. July 2019)

CERTIFICATIONS AND FORMS

The Bidder, by submitting its electronic bid, agrees to and certifies under penalty of perjury under the laws of the State of California, that the certifications, forms and affidavits submitted as part of this bid are true and correct

Job Order Contract (JOC) Building Improvements 52 | Page Bidder’s General Information (Rev. July 2019)

BIDDER’S GENERAL INFORMATION

To the City of San Diego:

Pursuant to "Notice Inviting Bids", specifications, and requirements on file with the City Clerk, and subject to all provisions of the Charter and Ordinances of the City of San Diego and applicable laws and regulations of the United States and the State of California, the undersigned hereby proposes to furnish to the City of San Diego, complete at the prices stated herein, the items or services hereinafter mentioned. The undersigned further warrants that this bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the bidder has not directly or indirectly induced or solicited any other bidder to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived, or agreed with any bidder or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the bidder has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the bidder or any other bidder, or to fix any overhead, profit, or cost element of the bid price, or of that of any other bidder, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the bidder has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company, association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid.

The undersigned bidder(s) further warrants that bidder(s) has thoroughly examined and understands the entire Contract Documents (plans and specifications) and the Bidding Documents therefore, and that by submitting said Bidding Documents as its bid proposal, bidder(s) acknowledges and is bound by the entire Contract Documents, including any addenda issued thereto, as such Contract Documents incorporated by reference in the Bidding Documents.

Job Order Contract (JOC) Building Improvements 53 | Page Non-Collusion Affidavit (Rev. July 2019)

NON-COLLUSION AFFIDAVIT TO BE EXECUTED BY BIDDER AND SUBMITTED WITH BID UNDER 23 UNITED STATES CODE 112 AND PUBLIC CONTRACT CODE 7106

State of California

County of San Diego

The bidder, being first duly sworn, deposes and says that he or she is authorized by the party making

the foregoing bid that the bid is not made in the interest of, or on behalf of, any undisclosed person,

partnership, company, association, organization, or corporation; that the bid is genuine and not

collusive or sham; that the bidder has not directly or indirectly induced or solicited any other bidder

to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived, or agreed

with any bidder or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that

the bidder has not in any manner, directly or indirectly, sought by agreement, communication, or

conference with anyone to fix the bid price of the bidder or any other bidder, or to fix any overhead,

profit, or cost element of the bid price, or of that of any other bidder, or to secure any advantage

against the public body awarding the contract of anyone interested in the proposed contract; that all

statements contained in the bid are true; and further, that the bidder has not, directly or indirectly,

submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged

information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership,

company association, organization, bid depository, or to any member or agent thereof to effectuate

a collusive or sham bid.

Job Order Contract (JOC) Building Improvements 54 | Page Drug-Free Workplace (Rev. July 2019)

CONTRACTOR CERTIFICATION

DRUG-FREE WORKPLACE

I hereby certify that I am familiar with the requirements of San Diego City Council Policy No. 100-17 regarding Drug-Free Workplace as outlined in the WHITEBOOK, Section 5-1.3, "Drug-Free Workplace", of the project specifications, and that;

This company has in place a drug-free workplace program that complies with said policy. I further certify that each subcontract agreement for this project contains language which indicates the subcontractor’s agreement to abide by the provisions of subdivisions a) through c) of the policy as outlined.

Job Order Contract (JOC) Building Improvements 55 | Page ADA Compliance Certification (Rev. July 2019)


AMERICANS WITH DISABILITIES ACT (ADA) COMPLIANCE CERTIFICATION

I hereby certify that I am familiar with the requirements of San Diego City Council Policy No. 100-4 regarding the Americans With Disabilities Act (ADA) outlined in the WHITEBOOK, Section 5-1.2, “California Building Code, California Code of Regulations Title 24 and Americans with Disabilities Act”, of the project specifications, and that:

This company has in place workplace program that complies with said policy. I further certify that each subcontract agreement for this project contains language which indicates the subcontractor’s agreement to abide by the provisions of the policy as outlined.

Job Order Contract (JOC) Building Improvements 56 | Page Contractor Standards – Pledge of Compliance (Rev. July 2019)


CONTRACTOR STANDARDS – PLEDGE OF COMPLIANCE

I declare under penalty of perjury that I am authorized to make this certification on behalf of the company submitting this bid/proposal, that as Contractor, I am familiar with the requirements of City of San Diego Municipal Code § 22.3004 regarding Contractor Standards as outlined in the WHITEBOOK, Section 5-1.4, ("Contractor Standards and Pledge of Compliance"), of the project specifications, and that Contractor has complied with those requirements.

I further certify that each of the Contractor’s subcontractors has completed a Pledge of Compliance attesting under penalty of perjury of having complied with City of San Diego Municipal Code § 22.3004.

Job Order Contract (JOC) Building Improvements 57 | Page Equal Benefits Ordinance Certification (Rev. July 2019)


EQUAL BENEFITS ORDINANCE CERTIFICATION

I declare under penalty of perjury that I am familiar with the requirements of and in compliance with the City of San Diego Municipal Code § 22.4300 regarding Equal Benefits Ordinance.

Job Order Contract (JOC) Building Improvements 58 | Page Equal Pay Ordinance Certification (Rev. July 2019)


EQUAL PAY ORDINANCE CERTIFICATION

Contractor shall comply with the Equal Pay Ordinance (EPO) codified in the San Diego Municipal Code (SDMC) at section 22.4801 through 22.4809, unless compliance is not required based on an exception listed in SDMC section 22.4804.

Contractor shall require all of its subcontractors to certify compliance with the EPO in their written subcontracts.

Contractor must post a notice informing its employees of their rights under the EPO in the workplace or job site.

By signing this Contract with the City of San Diego, Contractor acknowledges the EPO requirements and pledges ongoing compliance with the requirements of SDMC Division 48, section 22.4801 et seq., throughout the duration of this Contract.

Job Order Contract (JOC) Building Improvements 59 | Page Electronically Submitted Forms (Rev. Mar. 2019)

ELECTRONICALLY SUBMITTED FORMS

THE FOLLOWING FORMS MUST BE SUBMITTED IN PDF FORMAT WITH BID SUBMISSION

The following forms are to be completed by the bidder and submitted (uploaded) electronically with the bid in PlanetBids:

A. CONTRACTOR’S CERTIFICATION OF PENDING ACTIONS

B. MANDATORY DISCLOSURE OF BUSINESS INTERESTS FORM

Bids will not be accepted until ALL the above-named forms are submitted as part of the bid submittal

Job Order Contract (JOC) Building Improvements 62 | Page Subcontracting Participation Requirements – Per Task (Rev. Jun. 2019)

ADDITIONAL FUNDING AGENCY REQUIREMENTS – FOR REFERENCE ONLY

SUBCONTRACTING PARTICIPATION REQUIREMENTS – PER TASK

1. SUBCONTRACTING PARTICIPATION PERCENTAGES:

1.1. The City affirms that in any contract entered into pursuant to this advertisement, DBE will be afforded full opportunity to submit Bids in response to this invitation.

1.2. This Federally assisted project includes subcontracting participation percentages for DBE participation. DBE goal commitments and Good Faith Efforts (GFE) shall be made prior to bidding. DBE commitments and GFE made after the Bid opening will not be considered for the Award of Contract.

1.3. This project is subject to the federal equal opportunity regulations and the following requirements. The City reserves the right to audit the Contractor’s compliance with the federal requirements set forth below.

1.4. The following are federally subcontracting participation percentages. For the purpose of achieving the subcontractor participation percentage, Additive or Deductive Alternates and Type II Allowance Bid Items will not be included in the calculation.

FAA or FHWA- CERTIFIED DBE Bidder(s) shall meet the DBE goal or have a good faith effort. They receive no credit toward the goal for their own DBE status. The City has determined that the following goals shall apply to this project:

DBE Percentage X.X%

The Contractor shall meet the Project specific goals for DBE’s as outlined in the Specifications or satisfy GFE documentation requirements.

Environmental Protection Agency (EPA) - In accordance with EPA’s Program for Utilization of Small, Minority Disadvantaged and Women Business Enterprises in procurement under Federal assistance programs, the Contractor agrees to the applicable “fair share” objectives negotiated with EPA as follows:

California State Water Resources Control Board - Clean Water State Revolving Fund (CWSRF):

MBE* WBE*

1. Construction 2% 1%

2. Supplies 1% 1%

3. Services 1% 1%

4. Equipment (combined in above) 1% 1%

Note: MBEs and WBEs shall be certified by EPA, SBA, DOT or by state, local,


Tribal, or private entities whose certification criteria match EPAs in order to be counted toward MBE/WBE accomplishments. MBEs and WBEs are a part of the larger universe of DBEs.

California Department of Public Health Service - Safe Drinking Water State Revolving Fund (SDWSRF):

MBE* WBE*

1. Construction 11% 4%

2. Supplies 2% 2%

3. Services 4% 2%

4. Equipment (combined in above) 2% 1%

Note: MBEs and WBEs must be certified by EPA, SBA, DOT or by state, local, Tribal, or private entities whose certification criteria match EPAs in order to be counted toward MBE/WBE accomplishments. MBEs and WBEs are a part of the larger universe of DBEs.

Federal Emergency Management Agency, DHS (FEMA), Department of Interior (DOI), Department of Energy (DOE), and Department of Housing and Urban Development (HUD):

1. Small Disadvantaged Business (SDB): 5%

2. Women-Owned Small Business (WoSB): 5%

3. HUBZone Small Business (HubZone): 3%

4. Service Disabled Veteran-owned Small Business (SDVoSB): 3%


**THE AS‐NEEDED INFORMATION IN THIS ATTACHMENT IS PROVIDED AS A COURTESY TO BIDDERS. PREVAILING WAGE RATES SHALL STILL APPLY AND SHALL BE BASED ON THE TASK REQUEST FOR PROPOSAL DATE**

1. Notice of Requirements for Affirmative Action to Ensure EEO (Executive Order 111246) .. 2. Non-discrimination Provisions for Federally Assisted Construction Contracts and Projects

3. Equal Opportunity Clauses ........................................................................................................... 4. Standard Federal Equal Employment Specifications ................................................................ 5. Violation of Breach of Requirements .......................................................................................... 6. Monthly Employment Utilization Reports .................................................................................. 7. Records of Payments to DBE ........................................................................................................ 8. Federal Wage Requirements for Federally Funded Projects ................................................... 9. State Requirements for Contracts Subject to State Prevailing Wage Requirements ............ 10. Wage Rates ..................................................................................................................................... 11. Section 3 of the Housing and Urban Development Act of 1968 .............................................. 12. Federal Labor Standards Provisions (CDBG) .............................................................................. 13. Federal Labor Standards Provisions (All other Federal) ........................................................... 14. Agency Specific Provisions ............................................................................................................ 15. DBE Potential Resources Centers ................................................................................................ 16. Good Faith Effort Documentation Submittals ........................................................................... 17. Forms ..............................................................................................................................................

EPA FORM 6100-2 DBE Subcontractor Participation Form ...................................................... EPA FORM 5700-52A MBE/WBE Utilization Forms .................................................................... CWSRF Form 1 Good Faith Effort List of Subcontractors Solicited .......................................... CWSRF Form 2 Good Faith Effort Bids Received List ................................................................. CWSRF Form 3 DBE / Contractor Certification ........................................................................... CWSRF Form 4 DBE Prime Contractor / Recipient Selected ..................................................... CWSRF Form 5 Summary of Bids Received from Subcontractors, Suppliers and Brokers .. SDWSRF DBE Information Form .................................................................................................. SDWSRF Verification of Qualifications ........................................................................................ Form AA61 List of Work Made Available ..................................................................................... Form AA62 Summary of Bids Received ....................................................................................... Form AA63 Good Faith Effort List of Subcontractors Solicited ................................................ Final Report – Utilization of DBE, First Tier Subcontractors ..................................................... Monthly DBE/UDBE Trucking Verification .................................................................................. Exhibit 15-G Local Agency Bidder DBE Commitment (Construction Contracts ..................... Subcontracting Request ................................................................................................................ Exhibit 15-H DBE Information – Good Faith Efforts .................................................................. Disadvantaged Business Enterprises (DBE) Certification Status Change FHWA PR-1391 ....

18. Appendix ......................................................................................................................................... DBE Good Policy Statement For FAA Contracts .........................................................................

19. Certificate of Insurance (Worker’s Compensation) ................................................................... 20. Insurance Endorsement (Worker’s Compensation) .................................................................. 21. Certificate of Insurance (Liability) ................................................................................................


22. Insurance Endorsement (Liability) ...................................................................................................... 23. Certificate of Compliance .................................................................................................................... 24. Notice of Materials to be Used ........................................................................................................... 25. Caltrans Standard Specification Division 1 – General Provisions ................................................... 26. Caltrans Standard Specification (Additional Divisions) ....................................................................


ADDITIONAL FUNDING AGENCY PROVISIONS

FOR REFERENCE ONLY

IN THE EVENT THAT THESE REQUIREMENTS CONFLICT WITH THE CITY’S GENERAL EOC REQUIREMENTS, THE FUNDING AGENCY’S REQUIREMENTS WILL CONTROL.

1. NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE EQUAL EMPLOYMENT OPPORTUNITY (EXECUTIVE ORDER 11246).

1.1. The goal and timetables for minority and female participation, expressed in percentage terms for the Contractor’s aggregate workforce in each trade on all construction work in the covered area, as follows:

Goal

1. Minority Participation: 16.9%

2. Female Participation: 6.9%

1.2. These goals are applicable to all the Contractor’s construction work (whether or not it is Federal or federally assisted) performed in the covered area. If the Contractor performs Work in a geographical area located outside of the covered area, it shall apply the goals established for such geographical area where the Work is actually performed. With regard to this second area, the Contractor also is subject to the goals for both federally involved and non-federally involved Work.

1.3. The Contractor’s compliance with the Executive Order and the regulations in 41 CFR Part 60-4 shall be based on its implementation of the Equal Opportunity Clause, specific affirmative action obligations required by the specifications set forth in 41 CFR 60-4.3(a), and its efforts to meet the goals.

1.4. The hours of minority and female employment and training shall be substantially uniform throughout the length of the Contract, and in each trade, and the Contractor shall make a good faith effort to employ minorities and women evenly on each of its projects. The transfer of minority or female employees or trainees from Contractor to Contractor or from project to project for the sole purpose of meeting the Contractor’s goals shall be a violation of the Contract, the Executive Order, and the regulations in 41 CFR Part 60-4. Compliance with the goals will be measured against the total work hours performed.

1.5. The Contractor shall provide written notification to the Director the Office of Federal Contract Compliance Programs within 10 Working Days of award of any Subcontract in excess of $10,000 at any tier for Work under the Contract resulting from this solicitation. The notification shall list the name, address and telephone number of the Subcontractor; employer identification number of the Subcontractor; estimated dollar amount of the Subcontract; estimated starting and completion dates of the Subcontract; and the geographical area in which the subcontract is to be performed. The “covered area” is the City of San Diego.


2. NONDISCRIMINATION PROVISIONS FOR FEDERALLY ASSISTED CONSTRUCTION CONTRACTS AND PROJECTS:

2.1. During the performance of this contract, the Contractor agrees as follows:

1. The Contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, or national origin. Such action shall include, but shall not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause.

2. The Contractor will, in all solicitations or advertisements for employees placed by, on behalf of, the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin.

3. The Contractor will send to each labor union or representative of worker with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advertising the said labor union or workers’ representatives of the Contractor’s commitments under this section and shall post copies of the notice in conspicuous places available to employees and applicants for employment.

4. The Contractor will comply with all provisions of Executive Order 11246 of September 24, 1965, or of the rules, regulations and relevant orders of the Secretary of Labor.

5. The Contractor will furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations and orders.

6. In the event of the Contractor’s noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, this contract may be canceled, terminated, or suspended, in whole or in part, and the Contractor may be declared ineligible for further government contracts or federally assisted construction contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive


Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law.

7. The Contractor will include the portion of the sentence immediately preceding Paragraph 1 and the provisions of Paragraphs 1 through 7 in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each Subcontractor or Vendor. The Contractor will take such action with respect to any subcontract or purchase order as the administering agency may direct as a means of enforcing such provisions, including sanctions for noncompliance: Provided, however, that in the event a Contractor becomes involved in, or is threatened with, litigation with a Subcontractor or Vendor as a result of such direction by the administering agency, the Contractor may request the United States to enter into such litigation to protect the interests of the United States.

3. EQUAL OPPORTUNITY CLAUSES:

3.1. The following equal opportunity clauses are incorporated by reference herein:

1. The equal opportunity clause located 41 CFR 60.1.4(a), which specifies the obligations imposed under Executive Order 11246.

2. The equal opportunity clause located at 41 CFR 60-741.5, which contains the obligations imposed by Section 503 of the Rehabilitation Act of 1973.

3. The “Equal Opportunity Clause” (Resolution No. 765092) filed on December 4, 1978, in the Office of the City Clerk, San Diego, California and incorporated in the “Standard Federal Employment Opportunity Construction Contract Specifications (Executive Order 11246 - Document No. 769023, filed September 11, 1984, in the Office of the City Clerk, San Diego, California) is applicable to all non-exempt City construction contracts and subcontracts of $2,000 or more.

4. Age Discrimination Act of 1975, Pub. L. 94-135.

5. Title VI of the Civil Rights Act of 1964, Pub. L. 88-352.

6. Section 13 of the Federal Water Pollution Control Acts Amendments of 1972, Pub. L. 92-5200 (the Clean Water Act).

7. Section 504 of the Rehabilitation Act of 1973, Pub. L. 93-112 (Executive Orders 11914 and 11250).

8. Women’s Minority Business Enterprises, Executive Orders 11625, 12138 and 12432.

9. Section 129 of the Small Business Administration Reauthorization and Amendment Act of 1988, Pub. L. 100-590.


4. STANDARD FEDERAL EQUAL EMPLOYMENT SPECIFICATIONS:

4.1. The Contractor is required to comply with the 16 “Standard Federal Equal Employment Specifications” located at 41 CFR 60-4.3 for federal and federally-assisted construction contracts in excess of $10,000, set forth below.

4.2. The Contractor shall take specific affirmative actions to ensure equal employment opportunity. The evaluation of Contractor’s compliance with these specifications shall be based upon its effort to achieve maximum results from its actions The Contractor shall document these efforts fully, and shall implement affirmative actions steps at least as extensive as the following:

1. Ensure and maintain a working environment free of harassment, intimidation, and coercion at all sites, and in all facilities at which the Contractor’s employees are assigned to work. The Contractor, where possible, will assign 2 or more women to each construction project. The Contractor shall specifically ensure that all foremen, superintendents, and other on-site supervisory personnel are aware of and carry out the Contractor’s obligation to maintain such a working environment, with specific attention to minority or female individuals working at such sites or in such facilities.

2. Establish and maintain a current list of minority and female recruitment sources, provide written notification to minority and female recruitment sources and to community organizations when the Contractor or its unions have employment opportunities available, and maintain a record of the organizations’ responses.

3. Maintain a current file of the names, addresses and telephone numbers of each minority and female walk-in applicant and minority or female referral from a union, a recruitment source or community organization and of what action was taken with respect to each such individual. If such individual was sent to the union hiring hall for referral and was not referred back to the Contractor by the union or, if referred, not employed by the Contractor, this shall be documented in the file with the reason therefor, along with whatever additional actions the Contractor may have taken.

4. Provide immediate written notification to the Director when the union or unions with which the Contractor has a collective bargaining agreement has not referred to the Contractor a minority person or woman sent by the Contractor, or when the Contractor has other information that the union referral process has impeded the Contractor’s efforts to meet its obligations.

5. Develop on-the-job training opportunities, participate in training programs for the area, or both which expressly include minorities and women, including upgrading programs and apprenticeship and trainee programs relevant to the Contractor’s employment needs, especially those programs funded or approved by the Department of Labor. The Contractor shall provide notice of these programs to the sources compiled under 1 above.


6. Disseminate the Contractor’s EEO policy by providing notice of the policy to unions and training programs and requesting their cooperation in assisting the Contractor in meeting its EEO obligations; by including it in any policy manual and collective bargaining agreements; by publicizing it in the company newspaper, annual report, etc.; by specific review of the policy with all management personnel and with all minority and female employees at least once a year; and by posting the company EEO policy on bulletin boards accessible to all employees at each location where construction work is performed.

7. Review, at least annually, the company’s EEO policy and affirmative action obligations under these specifications with all employees having any responsibility for hiring, assignments, layoff, termination or other employment decisions including specific review of these items with onsite supervisory personnel such as superintendents, foreman, etc., prior to the initiation of Work at any job site. A written record shall be made and maintained identifying the time and place of these meetings, persons attending, subject matter discussed, and dispositions of the subject matter.

8. Disseminate the Contractor’s EEO policy externally by including it in any advertising in the news media, specifically including minority and female news media, and providing written notification to and discussing the Contractor’s EEO policy with other Contractors and Subcontractors with whom the Contractor does or anticipates doing business.

9. Direct its recruitment efforts, both oral and written, to minority, female and community organizations, to schools with minority and female students and to minority and female recruitment and training organizations serving the Contractor’s recruitment area and employment needs. Not later than one month prior to the date for the acceptance of applications for apprenticeship or other training by any recruitment source, the Contractor shall send written notification to organizations such as the above, describing the openings, screening procedures, and tests to be used in the selection process.

10. Encourage present minority and female employees to recruit other minority persons and women and where reasonable, provide after school, summer and vacation employment to minority and female youth both on the site and in other areas of a Contractor’s work force.

11. Validate all tests and other selection requirements where there is an obligation to do so under 41 CFR Part 60-3.

12. Conduct, at least annually, an inventory and evaluation at least of all minority and female personnel for promotional opportunities and encourage these employees to seek or to prepare for, through appropriate training, etc., such opportunities.

13. Ensure that seniority practices, job classifications, work assignments and other personnel practices do not have a discriminatory effect by continually monitoring all personnel and employment related activities to ensure that the


EEO policy and the Contractor’s obligations under these specifications are being carried out.

14. Ensure that all facilities and company activities are non-segregated except that separate or single-user toilet and necessary changing facilities shall be provided to assure privacy between the sexes.

15. Document and maintain a record of all solicitations of offers for subcontracts from minority and female construction contractors and suppliers, including circulation of solicitations to minority and female contractor associations and other business associations.

16. Conduct a review, at least annually, of all supervisors’ adherence to and performance under the Contractor’s EEO policies and affirmative action obligations.

5. VIOLATION OR BREACH OF REQUIREMENTS:

5.1. If at any time during the course of the Contract there is a violation of the Affirmative Action or Equal Employment Opportunity requirements by the Contractor, or the Subcontractors, the City will notify the Contractor of the breach. The City may withhold any further progress payments to the Contractor until the City is satisfied that the Contractor and Subcontractors are in full compliance with these requirements.

6. MONTHLY EMPLOYMENT UTILIZATION REPORTS:

6.1. Refer to GENERAL EQUAL OPPORTUNITY CONTRACTING PROGRAM REQUIREMENTS, CONSTRUCTION CONTRACTOR REQUIREMENTS in The WHITEBOOK and the following:

1. State of California Department of Transportation Payroll Report. Due to the City weekly.

2. Federal and Non-Federal Work in San Diego County. Submit an updated list only if work is complete or new contracts have been awarded during the span of this project.

7. RECORDS OF PAYMENTS TO DBEs:

7.1. The Contractor shall maintain records and documents of payments to DBEs for 5 years following the NOC. These records shall be made available for inspection upon request by any authorized representative of the City, DOT, or both. The reporting requirement shall be extended to any certified DBE Subcontractor.

8. FEDERAL WAGE REQUIREMENTS FOR FEDERALLY FUNDED PROJECTS:

8.1. The successful Bidder’s work shall be required to comply with Executive Order 11246, entitled “Equal Employment Opportunity,”, as amended by Executive Order 11375, and as supplemented in Department of Labor regulations (41 CFR chapter 60).

8.2. This Executive Order pertains to Equal Employment Opportunity regulations and contains significant changes to the regulations including new goals and timetables for women in construction and revised goals and time-tables for minorities in


construction.

8.3. Minimum wage rates for this project have been predetermined by the Secretary of Labor and are set forth in the Decision of the Secretary and bound into the specifications book. Should there be any difference between the state or federal wage rates, including health and welfare funds for any given craft, mechanic, or similar classifications needed to execute the Work, it shall be mandatory upon the Contractor or subcontractor to pay the higher of the two rates.

8.4. The minimum wage rate to be paid by the Contractor and the Subcontractors shall be in accordance with the Federal Labor Standards Provisions and Federal Wage Rates (see Wage Rates below) and General Prevailing Wage Determination made by the State of California, Director of Industrial Relations pursuant to California Labor Code Part 7, Chapter 1, Article 2, Sections 1770, 1773 and 1773.1, whichever is higher.

8.5. A Contractor having 50 or more employees and its Subcontractors having 50 or more employees and who may be awarded a contract of $50,000 or more will be required to maintain an affirmative action program, the standards for which are contained in the specifications.

8.6. To be eligible for award, each Bidder shall comply with the affirmative action requirements which are contained in the specifications.

8.7. Women will be afforded equal opportunity in all areas of employment. However, the employment of women shall not diminish the standards of requirements for the employment of minorities.

9. PREVAILING WAGE RATES: Pursuant to San Diego Municipal Code section 22.3019, construction, alteration, demolition, repair and maintenance work performed under this Contract is subject to State prevailing wage laws. For construction work performed under this Contract cumulatively exceeding $25,000 and for alteration, demolition, repair and maintenance work performed under this Contract cumulatively exceeding $15,000, the Contractor and its subcontractors shall comply with State prevailing wage laws including, but not limited to, the requirements listed below.

9.1. Compliance with Prevailing Wage Requirements. Pursuant to sections 1720 through 1861 of the California Labor Code, the Contractor and its subcontractors shall ensure that all workers who perform work under this Contract are paid not less than the prevailing rate of per diem wages as determined by the Director of the California Department of Industrial Relations (DIR). This includes work performed during the design and preconstruction phases of construction including, but not limited to, inspection and land surveying work.

9.1.1. Copies of such prevailing rate of per diem wages are on file at the City and are available for inspection to any interested party on request. Copies of the prevailing rate of per diem wages also may be found athttp://www.dir.ca.gov/OPRL/DPreWageDetermination.htm. Contractor and its subcontractors shall post a copy of the prevailing rate of per diem wages


determination at each job site and shall make them available to any interested party upon request.

9.1.2. The wage rates determined by the DIR refer to expiration dates. If the published wage rate does not refer to a predetermined wage rate to be paid after the expiration date, then the published rate of wage shall be in effect for the life of this Contract. If the published wage rate refers to a predetermined wage rate to become effective upon expiration of the published wage rate and the predetermined wage rate is on file with the DIR, such predetermined wage rate shall become effective on the date following the expiration date and shall apply to this Contract in the same manner as if it had been published in said publication. If the predetermined wage rate refers to one or more additional expiration dates with additional predetermined wage rates, which expiration dates occur during the life of this Contract, each successive predetermined wage rate shall apply to this Contract on the date following the expiration date of the previous wage rate. If the last of such predetermined wage rates expires during the life of this Contract, such wage rate shall apply to the balance of the Contract.

9.2. Penalties for Violations. Contractor and its subcontractors shall comply with California Labor Code section 1775 in the event a worker is paid less than the prevailing wage rate for the work or craft in which the worker is employed. This shall be in addition to any other applicable penalties allowed under Labor Code sections 1720 – 1861.

9.3. Payroll Records. Contractor and its subcontractors shall comply with California Labor Code section 1776, which generally requires keeping accurate payroll records, verifying and certifying payroll records, and making them available for inspection. Contractor shall require its subcontractors to also comply with section 1776. Contractor and its subcontractors shall submit weekly certified payroll records online via the City’s web-based Labor Compliance Program. Contractor is responsible for ensuring its subcontractors submit certified payroll records to the City.

9.3.1. For contracts entered into on or after April 1, 2015, Contractor and their subcontractors shall furnish records specified in Labor Code section 1776 directly to the Labor Commissioner in the manner required by Labor Code section 1771.4.

9.4. Apprentices. Contractor and its subcontractors shall comply with California Labor Code sections 1777.5, 1777.6 and 1777.7 concerning the employment and wages of apprentices. Contractor is held responsible for the compliance of their subcontractors with sections 1777.5, 1777.6 and 1777.7.

9.5. Working Hours. Contractor and their subcontractors shall comply with California Labor Code sections 1810 through 1815, including but not limited to: (i) restrict working hours on public works contracts to eight hours a day and forty hours a week, unless all hours worked in excess of 8 hours per day are compensated at not less than 1½ times the basic rate of pay; and (ii) specify penalties to be imposed on contractors


and subcontractors of $25 per worker per day for each day the worker works more than 8 hours per day and 40 hours per week in violation of California Labor Code sections1810 through 1815.

9.6. Required Provisions for Subcontracts. Contractor shall include at a minimum a copy of the following provisions in any contract they enter into with a subcontractor: California Labor Code sections 1771, 1771.1, 1775, 1776, 1777.5, 1810, 1813, 1815, 1860 and 1861.

9.7. Labor Code Section 1861 Certification. Contractor in accordance with California Labor Code section 3700 is required to secure the payment of compensation of its employees and by signing this Contract, Contractor certifies that “I am aware of the provisions of Section 3700 of the California Labor Code which require every employer to be insured against liability for workers’ compensation or to undertake self-insurance in accordance with the provisions of that code, and I will comply with such provisions before commencing the performance of the work of this Contract.”

9.8. Labor Compliance Program. The City has its own Labor Compliance Program authorized in August 2011 by the DIR. The City will withhold contract payments when payroll records are delinquent or deemed inadequate by the City or other governmental entity, or it has been established after an investigation by the City or other governmental entity that underpayment(s) have occurred. For questions or assistance please contact the City of San Diego’s Prevailing Wage Unit at 858-627-3200.

9.9. Contractor and Subcontractor Registration Requirements. This project is subject to compliance monitoring and enforcement by the DIR. A contractor or subcontractor shall not be qualified to bid on, be listed in a bid or proposal, subject to the requirements of section 4104 of the Public Contract Code, or engage in the performance of any contract for public work, unless currently registered and qualified to perform public work pursuant to Labor Code section 1725.5 It is not a violation of this section for an unregistered contractor to submit a bid that is authorized by Section 7029.1 of the Business and Professions code or by Section 10164 or 20103.5 of the Public Contract Code, provided the contractor is registered to perform public work pursuant to Section 1725.5 at the time the contract is awarded.

9.9.1. A Contractor’s inadvertent error in listing a subcontractor who is not registered pursuant to Labor Code section 1725.5 in response to a solicitation shall not be grounds for filing a bid protest or grounds for considering the bid non-responsive provided that any of the following apply: (1) the subcontractor is registered prior to bid opening; (2) within twenty-four hours after the bid opening, the subcontractor is registered and has paid the penalty registration fee specified in Labor Code section 1725.5; or (3) the subcontractor is replaced by another registered subcontractor pursuant to Public Contract Code section 4107.

9.9.2. By submitting a bid or proposal to the City, Contractor is certifying that he or she has verified that all subcontractors used on this public work project are


registered with the DIR in compliance with Labor Code sections 1771.1 and 1725.5, and Contractor shall provide proof of registration for themselves and all listed subcontractors to the City at the time of bid or proposal due date or upon request.

9.10. Stop Order. For Contractor or its subcontractors engaging in the performance of any public work contract without having been registered in violation of Labor Code sections 1725.5 or 1771.1, the Labor Commissioner shall issue and serve a stop order prohibiting the use of the unregistered contractors or unregistered subcontractor(s) on ALL public works until the unregistered contractor or unregistered subcontractor(s) is registered. Failure to observe a stop order is a misdemeanor.

9.11. List of all Subcontractors. The City may ask Contractor for the most current list of subcontractors (regardless of tier), along with their DIR registration numbers, utilized on this Agreement at any time during performance of this contract, and Contractor shall provide the list within ten (10) working days of the City’s request. Additionally, Contractor shall provide the City with a complete list of all subcontractors utilized on this contract (regardless of tier), within ten working days of the completion of the contract, along with their DIR registration numbers. The City shall withhold final payment to Contractor until at least 30 days after this information is provided to the City.

9.12. Exemptions for Small Projects. There are limited exemptions for installation, alteration, demolition, or repair work done on projects of $25,000 or less. The Contractor shall still comply with Labor Code sections 1720 et. seq. The only recognized exemptions are listed below:

9.12.1. Registration. The Contractor will not be required to register with the DIR for small projects. (Labor Code section 1771.1.

9.12.2. Certified Payroll Records. The records required in Labor Code section 1776 shall be required to be kept and submitted to the City of San Diego, but will not be required to be submitted online with the DIR directly. The Contractor will need to keep those records for at least three years following the completion of the Contract. (Labor Code section 1771.4).

9.12.3. List of all Subcontractors. The Contractor shall not be required to hire only registered subcontractors and is exempt from submitting the list of all subcontractors that is required in section 9.12 above. (Labor code section 1773.3).

10. WAGE RATES. This contract shall be subject to the following Davis-Bacon Wage Decisions and will be determined at time of Task Order issuance.


11. SECTION 3 OF THE HOUSING AND URBAN DEVELOPMENT ACT OF 1968:

11.1. The work to be performed under this contract is on a project assisted under a program providing direct Federal financial assistance from the Department of Housing and Urban Development and is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u. Section 3 requires that to the greatest extent feasible opportunities for training and employment be given lower income residents of the project area and contracts for work in connection with the project be awarded to business concerns which are located in or owned in substantial part by persons residing in the area of the project.

11.2. The parties to this contract will comply with the provisions of said Section 3 and the regulations issued pursuant thereto by the Secretary of Housing and Urban Development set forth in 24 CFR Part 135, and all applicable rules and orders of the Department issued thereunder prior to the execution of this contract. The parties to this contract certify and agree that they are under no contractual or other disability which would prevent them from complying with these requirements.

11.3. The Contractor will send to each labor organization or representative of workers with which he has a collective bargaining agreement or other contract or understanding, if any, a notice advising the said labor organization or workers’ representative of his commitments under this Section 3 clause and shall post copies of the notice in conspicuous places available to employees and applicants for employment or training.

11.4. The Contractor will include this Section 3 clause in every subcontract for work in connection with the project and will, at the direction of the applicant for or recipient of Federal financial assistance, take appropriate action pursuant to the subcontract upon a finding that the Subcontractor is in violation of regulations issued by the Secretary of Housing and Urban Development, 24 CFR Part 135. The Contractor will not subcontract with any Subcontractor where it has notice or knowledge that the latter has been found in violation of regulations under 24 CFR Part 135 and will not let any subcontract unless the Subcontractor has first provided it with a preliminary statement of ability to comply with the requirements of these regulations.

11.5. Compliance with the provisions of Section 3, the regulations set forth in 24 CFR Part 135, and all applicable rules and orders of the Department issued thereunder prior to the execution of the contract, shall be a condition of the Federal financial assistance provided to the project, binding upon the applicant or recipient for such assistance, its successors and assigns. Failure to fulfill these requirements shall subject the applicant or recipient, its Contractors and Subcontractors, its successors, and assigns to those sanctions specified by the grant or loan agreement or contract through which Federal assistance is provided, and to such sanctions as are specified by 24 CFR Part 135.


12. FEDERAL LABOR STANDARDS PROVISIONS:

Federal Labor Standards Provisions U.S. Department of Housing and Urban Development Office of Labor Relations

Applicability The Project or Program to which the construction work covered by this contract pertains is being assisted by the United States of America and the following Federal Labor Standards Provisions are included in this Contract pursuant to the provisions applicable to such Federal assistance. A. 1. (i) Minimum Wages. All laborers and mechanics employed or working upon the site of the work, will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR Part 3), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics. Contributions made or costs reasonably anticipated for bona fide fringe benefits under Section l(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of 29 CFR 5.5(a)(1)(iv); also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs, which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in 29 CFR 5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided, That the employer’s payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under 29 CFR 5.5(a)(1)(ii) and the Davis-Bacon poster (WH-1321) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible, place where it can be easily seen by the workers. (ii) (a) Any class of laborers or mechanics which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. HUD shall approve an additional classification and wage rate and fringe benefits therefor only when the following criteria have been met:

(1) The work to be performed by the classification requested is not performed by a classification in the wage determination; and (2) The classification is utilized in the area by the construction industry; and (3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination. (b) If the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and HUD or its designee agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by HUD or its designee to the Administrator of the Wage and Hour Division, Employment Standards Administration, U.S. Department of Labor, Washington, D.C. 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise HUD or its designee or will notify HUD or its designee within the 30-day period that additional time is necessary. (Approved by the Office of Management and Budget under OMB control number 1215- 0140.) (c) In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and HUD or its designee do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), HUD or its designee shall refer the questions, including the views of all interested parties and the recommendation of HUD or its designee, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise HUD or its designee or will notify HUD or its designee within the 30-day period that additional time is necessary. (Approved by the Office of Management and Budget under OMB Control Number 1215-0140.) (d) The wage rate (including fringe benefits where appropriate) determined pursuant to subparagraphs (1)(ii)(b) or (c) of this paragraph, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification. (iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof. (iv) If the contractor does not make payments to a trustee or other third person, the contractor may consider as part

Previous editions are obsolete form HUD-4010 (06/2009)

ref. Handbook 1344.1


of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, Provided, That the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. (Approved by the Office of Management and Budget under OMB Control Number 1215-0140.) 2. Withholding. HUD or its designee shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld from the contractor under this contract or any other Federal contract with the same prime contractor, or any other Federally-assisted contract subject to Davis-Bacon prevailing wage requirements, which is held by the same prime contractor so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees and helpers, employed by the contractor or any subcontractor the full amount of wages required by the contract In the event of failure to pay any laborer or mechanic, including any apprentice, trainee or helper, employed or working on the site of the work, all or part of the wages required by the contract, HUD or its designee may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. HUD or its designee may, after written notice to the contractor, disburse such amounts withheld for and on account of the contractor or subcontractor to the respective employees to whom they are due. The Comptroller General shall make such disbursements in the case of direct Davis-Bacon Act contracts. 3. (i) Payrolls and basic records. Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work preserved for a period of 3 years thereafter for all laborers and mechanics working at the site of the work. Such records shall contain the name, address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in Section l(b)(2)(B) of the Davis-bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5 (a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in Section l(b)(2)(B) of the Davis-Bacon Act, the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been

communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs. (Approved by the Office of Management and Budget under OMB Control Numbers 1215-0140 and 1215-0017.) (ii) (a) The contractor shall submit weekly for each week in which any contract work is performed a copy of all payrolls to HUD or its designee if the agency is a party to the contract, but if the agency is not such a party, the contractor will submit the payrolls to the applicant sponsor, or owner, as the case may be, for transmission to HUD or its designee. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under 29 CFR 5.5(a)(3)(i) except that full social security numbers and home addresses shall not be included on weekly transmittals. Instead the payrolls shall only need to include an individually identifying number for each employee (e.g., the last four digits of the employee’s social security number). The required weekly payroll information may be submitted in any form desired. Optional Form WH-347 is available for this purpose from the Wage and Hour Division Web site at http://www.dol.gov/esa/whd/forms/wh347instr.htm or its successor site. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors shall maintain the full social security number and current address of each covered worker, and shall provide them upon request to HUD or its designee if the agency is a party to the contract, but if the agency is not such a party, the contractor will submit the payrolls to the applicant sponsor, or owner, as the case may be, for transmission to HUD or its designee, the contractor, or the Wage and Hour Division of the Department of Labor for purposes of an investigation or audit of compliance with prevailing wage requirements. It is not a violation of this subparagraph for a prime contractor to require a subcontractor to provide addresses and social security numbers to the prime contractor for its own records, without weekly submission to HUD or its designee. (Approved by the Office of Management and Budget under OMB Control Number 1215-0149.) (b) Each payroll submitted shall be accompanied by a “Statement of Compliance,” signed by the contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following: (1) That the payroll for the payroll period contains the information required to be provided under 29 CFR 5.5 (a)(3)(ii), the appropriate information is being maintained under 29 CFR 5.5(a)(3)(i), and that such information is correct and complete;

Previous editions are obsolete form HUD-4010 (06/2009) ref. Handbook 1344.1


(2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in 29 CFR Part 3; (3) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract. (c) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the “Statement of Compliance” required by subparagraph A.3.(ii)(b). (d) The falsification of any of the above certifications may subject the contractor or subcontractor to civil or criminal prosecution under Section 1001 of Title 18 and Section 231 of Title 31 of the United States Code. (iii) The contractor or subcontractor shall make the records required under subparagraph A.3.(i) available for inspection, copying, or transcription by authorized representatives of HUD or its designee or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, HUD or its designee may, after written notice to the contractor, sponsor, applicant or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12. 4. Apprentices and Trainees. (i) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Office of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency recognized by the Office, or if a person is employed in his or her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who

is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman’s hourly rate) specified in the contractor’s or subcontractor’s registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice’s level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency recognized by the Office, withdraws approval of an apprenticeship program, the contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (ii) Trainees. Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant ‘,to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee’s level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by



the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment and Training Administration withdraws approval of a training program, the contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (iii) Equal employment opportunity. The utilization of apprentices, trainees and journeymen under 29 CFR Part 5 shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR Part 30. 5. Compliance with Copeland Act requirements. The contractor shall comply with the requirements of 29 CFR Part 3 which are incorporated by reference in this contract 6. Subcontracts. The contractor or subcontractor will insert in any subcontracts the clauses contained in subparagraphs 1 through 11 in this paragraph A and such other clauses as HUD or its designee may by appropriate instructions require, and a copy of the applicable prevailing wage decision, and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all the contract clauses in this paragraph. 7. Contract termination; debarment. A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the contract and for debarment as a contractor and a subcontractor as provided in 29 CFR 5.12. 8. Compliance with Davis-Bacon and Related Act Requirements. All rulings and interpretations of the Davis-Bacon and Related Acts contained in 29 CFR Parts 1, 3, and 5 are herein incorporated by reference in this contract. 9. Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR Parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and HUD or its designee, the U.S. Department of Labor, or the employees or their representatives. 10. (i) Certification of Eligibility. By entering into this contract the contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the contractor’s firm is a person or firm ineligible to be awarded Government contracts by virtue of Section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1) or to be

awarded HUD contracts or participate in HUD programs pursuant to 24 CFR Part 24. (ii) No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of Section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1) or to be awarded HUD contracts or participate in HUD programs pursuant to 24 CFR Part 24. (iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001. Additionally, U.S. Criminal Code, Section 1 01 0, Title 18, U.S.C., “Federal Housing Administration transactions”, provides in part: “Whoever, for the purpose of….influencing in any way the action of such Administration..... makes, utters or publishes any statement knowing the same to be false..... shall be fined not more than $5,000 or imprisoned not more than two years, or both”. 11. Complaints, Proceedings, or Testimony by Employees. No laborer or mechanic to whom the wage, salary, or other labor standards provisions of this Contract are applicable shall be discharged or in any other manner discriminated against by the Contractor or any subcontractor because such employee has filed any complaint or instituted or caused to be instituted any proceeding or has testified or is about to testify in any proceeding under or relating to the labor standards applicable under this Contract to his employer. B. Contract Work Hours and Safety Standards Act. The provisions of this paragraph B are applicable where the amount of the prime contract exceeds $100,000. As used in this paragraph, the terms “laborers” and “mechanics” include watchmen and guards. (1) Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which the individual is employed on such work to work in excess of 40 hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of 40 hours in such workweek. (2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in subparagraph (1) of this paragraph, the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in subparagraph (1) of this paragraph, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of 40 hours without payment of the overtime wages required by the clause set forth in sub paragraph (1) of this paragraph.



(3) Withholding for unpaid wages and liquidated damages. HUD or its designee shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contract, or any other Federally-assisted contract subject to the Contract Work Hours and Safety Standards Act which is held by the same prime contractor such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in subparagraph (2) of this paragraph. (4) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in subparagraph (1) through (4) of this paragraph and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in subparagraphs (1) through (4) of this paragraph. C. Health and Safety. The provisions of this paragraph C are applicable where the amount of the prime contract exceeds $100,000. (1) No laborer or mechanic shall be required to work in surroundings or under working conditions which are unsanitary, hazardous, or dangerous to his health and safety as determined under construction safety and health standards promulgated by the Secretary of Labor by regulation. (2) The Contractor shall comply with all regulations issued by the Secretary of Labor pursuant to Title 29 Part 1926 and failure to comply may result in imposition of sanctions pursuant to the Contract Work Hours and Safety Standards Act, (Public Law 91-54, 83 Stat 96). 40 USC 3701 et seq. (3) The contractor shall include the provisions of this paragraph in every subcontract so that such provisions will be binding on each subcontractor. The contractor shall take such action with respect to any subcontractor as the Secretary of Housing and Urban Development or the Secretary of Labor shall direct as a means of enforcing such provisions.



13. FEDERAL LABOR STANDARDS PROVISIONS (Office of the Secretary of Labor 29 CFR 5):

Applicability

The Project or Program to which the construction work covered by this contract pertains is being assisted by the United States of America and the following Federal Labor Standards Provisions are included in this Contract pursuant to the provisions applicable to such Federal assistance.

A. 1. Minimum Wages. (i) All laborers and mechanics employed or working upon the site of the work, (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the project) will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR Part 3), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics.

Contributions made or costs reasonably anticipated for bona fide fringe benefits under Section l(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of 29 CFR 5.5(a)(1)(iv); also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs, which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in 29 CFR 5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided that the employer’s payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under 29 CFR 5.5(a)(1)(ii) and the Davis-Bacon poster (WH-1321) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible, place where it can be easily seen by the workers.

(ii) (A) Any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The Federal Agency or its designee shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met:

(1) The work to be performed by the classification requested is not performed by a classification in the wage determination; and

(2) The classification is utilized in the area by the construction industry; and


(3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination.

(B) If the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer or its designee agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour Division, Employment Standards Administration, U.S. Department of Labor, Washington, D.C. 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary.

(C) In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary.

(D) The wage rate (including fringe benefits where appropriate) determined pursuant to subparagraphs (1)(ii)(b) or (c) of this section, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification.

(iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof.

(iv) If the contractor does not make payments to a trustee or other third person, the contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, Provided, That the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program.

2. Withholding. The Federal Agency or its designee shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld from the contractor under this contract or any other Federal contract with the same prime contractor, or any other Federally-assisted contract subject to Davis-Bacon prevailing wage requirements, which is held by the same prime contractor so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees and helpers, employed by the contractor or any


subcontractor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee or helper, employed or working on the site of the work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the project), all or part of the wages required by the contract, the Federal Agency or its designee may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased.

3. Payrolls and basic records. (i) Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work preserved for a period of 3 years thereafter for all laborers and mechanics working at the site of the work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the project. Such records shall contain the name, address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in Section l(b)(2)(B) of the Davis-bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5 (a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in Section l(b)(2)(B) of the Davis-Bacon Act, the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs.

(ii) (A) The contractor shall submit weekly for each week in which any contract work is performed a copy of all payrolls to the Federal Agency or its designee if the agency is a party to the contract, but if the agency is not such a party, the contractor will submit the payrolls to the applicant sponsor, or owner, as the case may be, for transmission to the Federal Agency or its designee. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under 29 CFR 5.5(a)(3)(i) except that full social security numbers and home addresses shall not be included on weekly transmittals. Instead the payrolls shall only need to include an individually identifying number for each employee (e.g., the last four digits of the employee’s social security number). The required weekly payroll information may be submitted in any form desired.

Optional Form WH-347 is available for this purpose from the Wage and Hour Division Web site at

http://www.dol.gov/esa/whd/forms/wh347instr.htm

or its successor site. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors shall maintain the full social security number and current


address of each covered worker, and shall provide them upon request to the Federal Agency or its designee if the agency is a party to the contract, but if the agency is not such a party, the contractor will submit the payrolls to the applicant sponsor, or owner, as the case may be, for transmission to the Federal Agency , the contractor, or the Wage and Hour Division of the Department of Labor for purposes of an investigation or audit of compliance with prevailing wage requirements. It is not a violation of this subparagraph for a prime contractor to require a subcontractor to provide addresses and social security numbers to the prime contractor for its own records, without weekly submission to the sponsoring government agency (or the applicant, sponsor, or, owner).

(B) Each payroll submitted shall be accompanied by a “Statement of Compliance,” signed by the contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following:

(1) That the payroll for the payroll period contains the information required to be provided under 29 CFR 5.5 (a)(3)(ii), the appropriate information is being maintained under 29 CFR 5.5(a)(3)(i), and that such information is correct and complete;

(2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in 29 CFR Part 3;

(3) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract.

(C) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the “Statement of Compliance” required by subparagraph A.3.(ii)(b)of this section.

(D) The falsification of any of the above certifications may subject the contractor or subcontractor to civil or criminal prosecution under Section 1001 of Title 18 and Section 231 of Title 31 of the United States Code.

(iii) The contractor or subcontractor shall make the records required under subparagraph A.3.(i) of this section available for inspection, copying, or transcription by authorized representatives of the Federal Agency or its designee or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, Federal agency or its designee may, after written notice to the contractor, sponsor, applicant or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12.


4. Apprentices and Trainees. (i) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Office of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency recognized by the Office, or if a person is employed in his or her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman’s hourly rate) specified in the contractor’s or subcontractor’s registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice’s level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination.

Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency recognized by the Office, withdraws approval of an apprenticeship program, the contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved.

(ii) Trainees. Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant ‘,to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee’s level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding


journeyman wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment and Training Administration withdraws approval of a training program, the contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved.

(iii) Equal employment opportunity. The utilization of apprentices, trainees and journeymen under 29 CFR Part 5 shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR Part 30.

5. Compliance with Copeland Act requirements. The contractor shall comply with the requirements of 29 CFR Part 3 which are incorporated by reference in this contract

6. Subcontracts. The contractor or subcontractor will insert in any subcontracts the clauses contained in 29 CFR 5.59(a)(1) through (10 and such other clauses as the Federal Agency may by appropriate instructions require, and a copy of the applicable prevailing wage decision, and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all the contract clauses in 29 CFR 5.5.

7. Contract termination; debarment. A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the contract and for debarment as a contractor and a subcontractor as provided in 29 CFR 5.12.

8. Compliance with Davis-Bacon and Related Act Requirements. All rulings and interpretations of the Davis-Bacon and Related Acts contained in 29 CFR Parts 1, 3, and 5 are herein incorporated by reference in this contract.

9. Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR Parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the contracting agency, the U.S. Department of Labor, or the employees or their representatives.

10. (i) Certification of Eligibility. By entering into this contract the contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the contractor’s firm is a person or firm ineligible to be awarded Government contracts by virtue of Section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).


(ii) No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of Section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1)..

(iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001.

b. Contract Work Hours and Safety Standards Act. The provisions of this paragraph b are applicable where the amount of the prime contract exceeds $100,000. As used in this paragraph, the terms “laborers” and “mechanics” include watchmen and guards.

(1) Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which the individual is employed on such work to work in excess of 40 hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of 40 hours in such workweek.

(2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in subparagraph (b)(1) of this section, the contractor and any subcontractor responsible therefore shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in subparagraph (b)(1) of this paragraph, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of 40 hours without payment of the overtime wages required by the clause set forth in sub paragraph (b)(1) of this section.

(3) Withholding for unpaid wages and liquidated damages. The Federal Agency or its designee shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contract, or any other Federally-assisted contract subject to the Contract Work Hours and Safety Standards Act which is held by the same prime contractor such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in subparagraph (b)(2) of this section.

(4) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in subparagraph (b)(1) through (4) of this section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in subparagraphs (b)(1) through (4) of this section.


C. In addition to the clauses contained in paragraph (b), in any contract subject only to the Contract Work Hours and Safety Standards Act and not to any of the other statutes cited in Sec. 5.1, the Agency Head shall cause or require the contracting officer to insert a clause requiring that the contractor or subcontractor shall maintain payrolls and basic payroll records during the course of the work and shall preserve them for a period of three years from the completion of the contract for all laborers and mechanics, including guards and watchmen, working on the contract. Such records shall contain the name and address of each such employee, social security number, correct classifications, hourly rates of wages paid, daily and weekly number of hours worked, deductions made, and actual wages paid. Further, the Agency Head shall cause or require the contracting officer to insert in any such contract a clause providing that the records to be maintained under this paragraph shall be made available by the contractor or subcontractor for inspection, copying, or transcription by authorized representatives of the (write the name of agency) and the Department of Labor, and the contractor or subcontractor will permit such representatives to interview employees during working hours on the job.

14. AGENCY SPECIFIC PROVISIONS:

Note: Failure to comply with these specifications e.g., taking the specified steps prior to Bid opening, and to submit the forms with the Bid will lead to the Bid being declared non-responsive and, therefore, shall be rejected.

14.1. All EPA Funded Contracts:

1. Federal Disadvantaged Business Enterprise (DBE) regulations apply to this project. (Reference 40 Code of Federal Regulations Part 33 - Participation by Disadvantaged Business Enterprises in U.S. Environmental Protection Agency Programs).

2. The responsive Bid shall conform to GFE to increase DBE awareness of procurement opportunities through race and gender neutral efforts. Race and gender neutral efforts are ones which increase awareness of contracting opportunities in general, including outreach, recruitment and technical assistance.

3. Bidder agrees that it will cooperate with and assist the City in fulfilling the DBE Good Faith Effort Requirement achieving "fair share objectives" and will exercise GFE to achieve such minimum participation of small, minority and women owned businesses. In particular, in submitting a bid, the Bidder shall, in the selection of Subcontractors, and Suppliers for the procurement of equipment, supplies, construction, and services related to the project, at a minimum, undertake the affirmative GFE steps.

4. In accordance with EPA’s Program for Utilization of Small, Minority Disadvantaged and Women Business Enterprises in procurement under Federal assistance programs, the Contractor agrees to the applicable “fair share objectives” as specified in the Notice Inviting Bids.


5. The provisions in the Contract Documents have been incorporated to prevent unfair practices that adversely affect DBEs.

6. If a DBE Subcontractor fails to complete the Work under the subcontract for any reason, the Contractor shall employ the 6 GFE if soliciting a replacement Subcontractor. The Contractor shall employ the 6 GFE described below even if the Contractor has achieved its fair share objectives.

7. Good Faith Efforts:

b) The Contractor shall demonstrate that efforts were made to attract DBEs on this contract. The “Good Faith” effort requires the Contractor and any Subcontractors to take the steps listed in these specifications to assure that DBEs are used whenever possible as sources of supplies, construction, equipment, or services even if the Contractor has achieved its fair share objectives.

c) If the Contractor awards subcontracts, it shall require the Subcontractors to take the steps in these specifications.

d) For the EPA defined GFE, see the steps below:

1. Ensure DBEs are made aware of contracting opportunities to the fullest extent practicable through outreach and recruitment activities. For Indian Tribal, State and Local and Government recipients, this will include placing DBEs on solicitation lists and soliciting them whenever they are potential sources.

2. Make information on forthcoming opportunities available to DBEs and arrange time frames for contracts and establish delivery schedules, where the requirements permit, in a way that encourages and facilitates participation by DBEs in the competitive process. This includes, whenever possible, posting solicitations for bids or proposals for a minimum of 30 days before the bid or proposal closing date.

3. Consider in the contracting process whether firms competing for large contracts could subcontract with DBEs. For Indian Tribal, State and local Government recipients, this will include dividing total requirements when economically feasible into smaller tasks or quantities to permit maximum participation by DBEs in the competitive process. Include with the GFE documentation a completed copy of the form AA61, “List of Work Made Available.”

4. Encourage contracting with a consortium of DBEs when a contract is too large for one of these firms to handle individually.

5. Use the services and assistance of the U.S. Small Business Administration (SBA) and the Minority Business Development Agency (MDBA) of the Department of Commerce (DOC). See


“DBE Potential Resources Centers” Section in a later part these specifications.

6. If the Contractor awards Subcontracts, the Contractor shall take the steps in paragraphs (1) through (5) above.

14.1.1. Semiannual DBE Utilization Reporting:

The Contractor shall report to the City on a semiannual basis, their utilization of Minority Business Enterprise and Women's Business Enterprise Subcontractors and Suppliers using EPA Form 5700-52A.

15. DBE POTENTIAL RESOURCES CENTERS:

15.1. Utilization of SBA and MBDA resources is required at no cost. These agencies offer several services, including Internet access to databases of DBEs.

15.2. For additional assistance, the recipient or contractor can telephone the local offices of both agencies in their area (SBA Minority Enterprise Development Offices and DOC MBDA Regional Centers). The Internet web sites also include names, addresses, and phone or fax numbers of local SBA and MBDA centers. Do not write to these sources

15.3. The Contractor shall provide documentation that the local SBA/MBDA offices or web sites were notified of the contracting bid opportunity at least 15 Working Days prior to Bid opening and solicitation to DBE subcontractors at least 10 Working Days prior to Bid opening. Documentation shall not only include the efforts to contact the information sources and list the Contract opportunity, but also the solicitation and response to the bid request.

15.4. Include qualified DBEs on solicitation lists and record the information on Form AA63. Solicitation shall be as broad as possible. The following web sites include a list of available sources for expanding the search for eligible DBEs:

1. http://www.sba.gov 2. http://www.ccr.gov 3. http://www.mbda.gov

15.5. If DBE sources are not located, explain why and describe the efforts made.

15.6. The Contractor shall send invitations to at least 3 (or all, if less than 3) DBE vendors for each item of work referred by sources contacted. The invitations shall adequately specify the items for which bids are requested. The record of “good faith” efforts shall indicate a real desire for a positive response, such as a certified mail receipt or a documented telephone conversation.

15.7. A regular letter or an unanswered telephone call is not an adequate “good faith” effort. A list of all sub-bidders, including the bidders not selected and non DBE Subcontractors, and bid amount for each item of the Work shall be submitted on Form AA62. If a low bid was not accepted, an explanation shall be provided.


15.8. Federal Agencies (must be contacted and solicitations posted on their websites):

Name and Address Telephone and Web Site

U.S. Small Business Administration (415) 744-6820 Extension 0

455 Market Street, Suite 600 PRO-Net Database: http://www.ccr.gov/1

San Francisco, CA 94105 Bid Notification: http://web.sba.gov/subnet/ 2

RE: Minority Enterprise Development Offices

U.S. Department of Commerce (415) 744-3001

Minority Business Development Agency Phoenix/ Opportunity Database:

211 Main Street, Room 1280 http://www.mbda.gov3

San Francisco, CA 94105 RE: Business Development Centers

15.1. State Agencies (must be contacted):


California Department of Transportation Mailing Address: PO Box 942874

(CALTRANS) Business Enterprise Program4

Sacramento, CA 94274-0015

1820 Alhambra Blvd. (916) 227-9599

Sacramento, CA 95816 www.dot.ca.gov/hq/bep

CA Public Utilities Commission (CPUC)5

505 Van Ness Avenue http://www.cpuc.ca.gov/static/supplierdiversity

San Francisco, CA 94102-3298

Notes:

1. PRO-Net new database is the SBA’s electronic search engine that was put on line January 1, 2004, containing business profiles for nearly 200,000 businesses. The SBA requests Internet contact only for a list of potential DBE subcontractors that can be downloaded from PRO-Net: http://www.ccr.gov. Downloading will verify that the prime contractor made the required contact with the SBA. Provide copy of search records with GFE documentation.

2. The Contractor shall use SUB-Net to post subcontracting opportunities. The Contractor shall post Subcontractor opportunities at least 15 Working Days prior to bid opening. Small businesses can review this web site to identify opportunities in their areas of expertise. The web site is designed primarily as a place for large businesses to post solicitations and notices. Provide copy of the Display Solicitation Record with the GFE documentation.

3. The Contractors shall use MBDA web portal to post subcontracting opportunities. The Contractor shall post subcontractor opportunities at least 15 Working Days prior to Bid opening. Small businesses can review this web site to identify opportunities in their areas of expertise. The web site is designed primarily as a place for large businesses to post solicitations and notices. Provide copy of the Offer Overview with the GFE documentation.

4. Based on the federal DBE program, CALTRANS maintains a database and provides directories of minority and woman-owned firms. Provide copy of search records with GFE documentation.

5. CPUC maintains a database of DBE-owned business enterprises and serves to inform the public. Provide copy of search records with GFE documentation.

16. GOOD FAITH EFFORT DOCUMENTATION SUBMITTALS:


16.1. The affirmative GFE steps documentation shall be submitted within 4 Working Days of the Bid Opening. If this documentation is not submitted when due, the City will declare the Bid non-responsive and reject it.

16.2. The required documentation shall be submitted and logged in at the following address:

CITY OF SAN DIEGO PUBLIC WORKS CONTRACTING GROUP

525 B STREET, SUITE 750, (7TH FLOOR), MS. 908A SAN DIEGO, CA 92101

SUBJECT: AFFIRMATIVE GOOD FAITH EFFORT DOCUMENTATION BID NO._________

16.3. The Contractor shall maintain the records documenting compliance with requirements including documentation of its GFE and data relied upon in formulating its fair share objectives.

17. FORMS:

17.1. The Contractor shall demonstrate that efforts were made to attract DBEs on this contract. The Contractor and Subcontractors shall take the steps listed in these specifications to assure that DBEs are used whenever possible as sources of supplies, construction, equipment, or services. In addition to the specified GFE documentation, the Bidder shall submit the following forms.

17.1.1. E-BIDDING FORMS - The following forms shall be completed and submitted within 4 Working Days of the Bid opening. Failure to include any of the forms shall cause the Bid to be deemed non-responsive.

1. EPA FORM 6100-2 DBE Subcontractor Participation Form

2. EPA Form 5700-52A MBE/WBE Utilization Forms

3. Form AA61: List of Work Made Available

4. Form AA62: Summary of Bids Received

5. Form AA63 Good Faith Effort List of Subcontractors Solicited

17.1.2. CERTIFICATIONS AND FORMS - See EPA forms 6100-2, 6100-3, and 6100-4 for additional required information to comply with EPA requirements. These forms are included in the Contract Documents or shall be obtained from: http://www.epa.gov/osbp/dbe_forms.htm. The following EPA forms in shall be completed and submitted with the Bid. Failure to include any of the forms shall cause the Bid to be deemed non-responsive.

1. EPA FORM 6100-3: DBE Subcontractor Performance Form


2. EPA FORM 6100-4: DBE Subcontractor Utilization Form





2. The responsive Bid shall conform to GFE to increase DBE awareness of procurement opportunities through race and gender neutral efforts. Race and gender neutral efforts are ones which increase awareness of contracting opportunities in general, including outreach, recruitment and technical assistance.






a) The Contractor shall demonstrate that efforts were made to attract DBEs on this contract. The “Good Faith” effort requires the Contractor and any Subcontractors to take the steps listed in these specifications to assure that DBEs are used whenever possible as sources of supplies, construction, equipment, or services even if the Contractor has achieved its fair share objectives.


b) If the Contractor awards subcontracts, it shall require the Subcontractors to take the steps in these specifications.

c) For the EPA defined GFE, see the steps below:





5. Use the services and assistance of the U.S. Small Business Administration (SBA) and the Minority Business Development Agency (MDBA) of the Department of Commerce (DOC). See “DBE Potential Resources Centers” Section in a later part these specifications.





18.1.2. Clean Water State Revolving Fund (CWSRF) Projects Only:

18.1.3. For contracts subject to CWSRF, refer to Subsection 18.1, “All EPA Funded Contracts” above and the following:

18.1.4. The Bidder shall take affirmative steps prior to Bid opening to assure that MBE’s and WBE’s are used whenever possible as sources of supplies, construction and services.

18.1.5. The affirmative steps are defined for contracts funded by the California State Water Resources Control Board as follows:

1. Utilization of SBA and MBDA resources is required at no cost. These agencies offer several services, including Internet access to databases of DBEs. SBA’s database is http://www.ccr.gov/

2. For additional assistance, the Contractor can telephone the local offices of both agencies in their area (SBA Minority Enterprise Development Offices and DOC MBDA Regional Centers). The Internet web sites also include names, addresses, and phone or fax numbers of local SBA and MBDA centers. There are contact phone numbers listed in Step 3 that will assist you in reaching the 2 offices if the Internet is unavailable. Do not write to these sources.

3. The Contractor shall provide documentation that the local SBA/MBDA offices or web sites were notified of the contracting bid opportunity at least 15 Working Days prior to Bid opening and solicitation to DBE Subcontractors at least 10 Working Days prior to Bid opening. Documentation shall not only include the efforts to contact the information sources and list the Contract opportunity, but also the solicitation and response to the bid request.

4. Include qualified DBEs on solicitation lists (CWSRF Form 1) and record the information. Solicitation shall be as broad as possible. The following web sites include a list of available sources for expanding the search for eligible DBEs:

1. http://www.sba.gov

2. http://www.ccr.gov

3. http://www.mbda.gov

5. If DBE sources are not located, explain why and describe the efforts made.

6. The Contractor shall send invitations to at least 3 (or all, if less than 3) DBE vendors for each item of the Work referred by sources contacted. The invitations shall adequately specify the items for which bids are requested. The record of GFE shall indicate a real desire for a positive response, such as a certified mail receipt or a documented telephone conversation.


7. A regular letter or an unanswered telephone call is not an adequate “good faith” effort. A list of all Subcontractors, including the bidders not selected and non DBE Subcontractors, and bid amount for each item of the Work shall be submitted on Form 5. If a low bid was not accepted, an explanation shall be provided.

8. See “DBE Potential Resources Centers” Section in a later part these specifications.





19.4. Include qualified DBEs on solicitation lists and record the information on Form 1. Solicitation shall be as broad as possible. The following web sites include a list of available sources for expanding the search for eligible DBEs:




19.7. A regular letter or an unanswered telephone call is not an adequate “good faith” effort. A list of all sub-bidders, including the bidders not selected and non DBE Subcontractors, and bid amount for each item of the Work shall be submitted on Form 5. If a low bid was not accepted, an explanation shall be provided.






San Francisco, CA 94105 Bid Notification: http://web.sba.gov/subnet/2








California Department of Transportation Mailing Address: PO Box 942874



1820 Alhambra Blvd. (916) 227-9599



505 Van Ness Avenue http://www.cpuc.ca.gov/static/supplierdiversity San Francisco, CA 94102-3298


Notes:










525 B STREET, SUITE 750 (7TH FLOOR), MS. 908A SAN DIEGO, CA 92101



21. FORMS:



21.1.1. E-BIDDING FORMS - The following CWSRF forms shall be completed and submitted within 4 Working Days of the Bid opening. Failure to include any of the forms shall cause the Bid to be deemed non-responsive.

1. EPA FORM 6100-2: DBE Subcontractor Participation Form

2. EPA Form 5700-52A: MBE/WBE Utilization Forms

3. Form AA61: List of Work Made Available

4. CWSRF Form 1: Good Faith Effort List of Subcontractors Solicited

5. CWSRF Form 2: Good Faith Effort Bids Received List

6. CWSRF Form 3: DBE/Contractor Certification

7. CWSRF Form 4: DBE Prime Contractor/Recipient Selected

8. CWSRF Form 5: Summary of Bids Received from Subcontractors, Suppliers and Brokers

21.1.2. CERTIFICATIONS AND FORMS - See EPA forms 6100-2, 6100-3, and 6100-4 for additional required information to comply with EPA requirements. These forms are included in the Contract Documents or shall be obtained from: http://www.epa.gov/osbp/dbe_forms.htm. The following EPA forms shall be completed and submitted with the Bid. Failure to include any of the forms shall cause the Bid to be deemed non-responsive.

1. EPA FORM 6100-3: DBE Subcontractor Performance Form

2. EPA FORM 6100-4: DBE Subcontractor Utilization Form





2. The responsive Bid shall conform to GFE to increase DBE awareness of procurement opportunities through race and gender neutral efforts. Race and gender neutral efforts are ones which increase awareness of contracting


opportunities in general, including outreach, recruitment and technical assistance.






a) The Contractor shall demonstrate that efforts were made to attract DBEs on this contract. The “Good Faith” effort requires the Contractor and any Subcontractors to take the steps listed in these specifications to assure that DBEs are used whenever possible as sources of supplies, construction, equipment, or services even if the Contractor has achieved its fair share objectives.

b) If the Contractor awards subcontracts, it shall require the Subcontractors to take the steps in these specifications.

c) For the EPA defined GFE, see the steps below:






5. Use the services and assistance of the U.S. Small Business Administration (SBA) and the Minority Business Development Agency (MDBA) of the Department of Commerce (DOC). See “DBE Potential Resources Centers” Section in a later part these specifications.


22.1.1. Safe Drinking Water State Revolving Fund (SDWSRF) Contracts:

22.1.2. For contracts subject to SDWSRF, refer to Subsection 22.1, “All EPA Funded Contracts” above and the following:

1. Each Bid shall include submission of Disadvantaged Business Enterprise Information Form, identifying each proposed Subcontractor and Supplier for the Project.

2. Using the Disadvantaged Business Enterprise Information Form, the Bidder shall provide the following information for each proposed Subcontractor and Supplier:

1. firm’s name;

2. contact person;

3. entity's mailing address,

4. telephone number;

5. e-mail address;

6. the procurement on which the proposed Subcontractor and Supplier quoted, and when; and

7. proposed Subcontractor and Supplier status as a DBE or non-DBE.

3. The Apparent Low Bidder shall submit documentation showing that, prior to Bid opening, the required GFE was made. The documentation shall be received by the City within 4 Working Day following Bid opening, except the Disadvantaged Business Enterprise Information Form, which is to be submitted with the Bid. Failure to submit Disadvantaged Business Enterprise Information Form with the Bid will cause the Bid to be rejected as non-responsive.


4. If the Apparent Low Bidder is rejected or considered as non-responsible or has any non-responsive low DBE Subcontractor, a complete explanation must be provided to the City.

5. Using the Verification of Qualification form below, Apparent Low Bidder shall provide evidence of certification by a federal, state, or local government entity for each DBE firm to be utilized. Such certification documentation shall be submitted within 4 Working Days following bid opening.

6. If additional procurement becomes necessary after the Award of the Contract, the GFE shall be applied, and, if DBE Subcontracts are awarded, Verification of Qualification shall be provided to the City by the Contractor within 10 Working Days following the award of each new Subcontract.

7. Any deviation from the information contained in Disadvantaged Business Enterprise Information Form shall not result in a reduction of DBE participation without prior approval of the City.

8. Failure of the Apparent Low Bidder to perform the 6 affirmative GFE steps prior to Bid opening, to submit Disadvantaged Business Enterprise Information Form with its bid, or both will lead to Bid being declared non-responsive. The City may then award the contract to the next low responsive, responsible Bidder meeting the requirements of these contract provisions.

9. The Contractor shall provide each proposed Subcontractor and Supplier copies of EPA Form 6100-2 and EPA Form 6100-3.

10. See “DBE Potential Resources Centers” Section in a later part these specifications.






23.3. The Contractor shall provide documentation that the local SBA/MBDA offices or web sites were notified of the contracting bid opportunity at least 15 Working Days prior to Bid opening and solicitation to DBE subcontractors at least 10 Working Days prior to Bid opening. Documentation shall not only include the efforts to contact the


information sources and list the Contract opportunity, but also the solicitation and response to the bid request.



















California Department of Transportation

Mailing Address: PO Box 942874



1820 Alhambra Blvd. (916) 227-9599


CA Public Utilities Commission

(CPUC)5

505 Van Ness Avenue http://www.cpuc.ca.gov/static/supplierdiversity San Francisco, CA 94102-3298

Notes:














25. FORMS:

25.1. The Contractor shall demonstrate that efforts were made to attract DBEs on this contract. The Contractor and Subcontractors shall take the steps listed in these specifications to assure that DBEs are used whenever possible as sources of supplies, construction, equipment, or services. In addition to the specified GFE documentation, the Bidder shall submit the following forms:


1. EPA FORM 6100-2 DBE Subcontractor Participation Form

2. EPA Form 5700-52A MBE/WBE Utilization Forms

3. SDWSRF DBE Information Form

4. SDWSRF Verification of Qualification

5. Form AA61 List of Work Made Available

6. Form AA62 Summary of Bids Received


25.1.2. CERTIFICATIONS AND FORMS - See EPA forms 6100-2, 6100-3, and 6100-4 for additional required information to comply with EPA requirements. These forms are included in the Contract Documents or shall be obtained from: http://www.epa.gov/osbp/dbe_forms.htm. The following EPA forms shall be completed and submitted with the Bid. Failure to include any of the forms shall cause the Bid to be deemed non-responsive.

1. EPA FORM 6100-3 DBE Subcontractor Performance Form

2. EPA FORM 6100-4 DBE Subcontractor Utilization Form


Note: Failure to comply with these specifications e.g., taking the specified steps prior to Bid opening, and to submit the forms located in Volume 2 with the Bid will lead to the Bid being declared non-responsive and, therefore, shall be rejected.


26.1. HUD Requirements

26.1.1. Affirmative Good Faith Effort Steps shall include the steps listed at 24 CFR 85.36(e)(2), set forth below:

1. Placing qualified DBE business enterprises on solicitation lists;

2. Assuring that DBE business enterprises are solicited whenever they are potential sources;

3. Dividing total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by DBE business enterprises;

4. Establishing delivery schedules, where the requirement permits, which encourage participation by DBE business enterprises;

5. Using the services and assistance of the Small Business Administration and the Minority Business Development Agency of the Department of Commerce; and

6. Requiring the Subcontractors to take the affirmative steps listed in this section.

7. See “DBE Potential Resources Centers” Section in a later part these specifications. Include a completed copy of the form AA61, “List of Work Made Available” with the GFE documentation.













U.S. Small Business Administration

(415) 744-6820 Extension 0





Minority Business Development Agency

Phoenix/ Opportunity Database:









1820 Alhambra Blvd. (916) 227-9599







Notes:













29. FORMS:


29.1. The Contractor shall demonstrate that efforts were made to attract DBEs on this contract. The Contractor and Subcontractors shall take the steps listed in these specifications to assure that DBEs are used whenever possible as sources of supplies, construction, equipment, or services. In addition to the specified GFE documentation, the Bidder shall submit the following forms:

29.2. E-BIDDING FORMS - The following forms shall be completed and submitted within 4 Working Days of the Bid opening. Failure to include any of the forms shall cause the Bid to be deemed non-responsive.






30.1. DOE Requirements:

30.1.1. The Contractor shall take all necessary affirmative steps listed in 10 CFR600.236(e)(2)(i) through (vi) to assure that minority firms, women’s business enterprises, and labor surplus area firms are used when possible.

30.1.2. Affirmative GFE steps shall include:

1. Placing qualified small and minority businesses and women’s business enterprises on solicitation lists;

2. Assuring that small and minority businesses, and women’s business enterprises are solicited whenever they are potential sources;

3. Dividing total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by small and minority business, and women’s business enterprises;

4. Establishing delivery schedules, where the requirement permits, which encourage participation by small and minority business, and women’s business enterprises;

5. Using the services and assistance of the Small Business Administration, and the Minority Business Development Agency of the Department of Commerce.


6. Requiring the Subcontractors, if subcontracts are to be let, to take the affirmative steps listed in this section.

7. The City will only accept certifications for the mandatory goals determined by the Department of Energy from the U.S. Small Business Administration (SBA) and the U.S. Department of Commerce Minority Business Development Agency (MBDA). Failure to solicit subcontractors from these agencies and to advertise for the required certifications will result in a bid deemed non compliant with the affirmative steps and therefore will be deemed non-responsive.

8. See “DBE Potential Resources Centers” Section in a later part these specifications. Include a completed copy of the form AA61, “List of Work Made Available” with the GFE documentation.














(415) 744-6820 Extension 0















1820 Alhambra Blvd. (916) 227-9599






Notes:














33. FORMS:








34.1. DOI Funded Contracts:

34.1.1. The Contractor shall take all necessary affirmative GFE steps listed in 43 CFR12.76(e)(2)(i) through (vi) to assure that minority firms, women’s business enterprises, and labor surplus area firms are used when possible.


34.1.2. Affirmative GFE steps shall include:

1. Placing qualified small and minority businesses and women’s business enterprises on solicitation lists;

2. Assuring that small and minority businesses, and women’s business enterprises are solicited whenever they are potential sources;

3. Dividing total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by small and minority business, and women’s business enterprises;

4. Establishing delivery schedules, where the requirement permits, which encourage participation by small and minority business, and women’s business enterprises;

5. Using the services and assistance of the Small Business Administration, and the Minority Business Development Agency of the Department of Commerce.

6. Requiring the Subcontractors, if subcontracts are to be let, to take the affirmative steps listed in this section.

7. DBE Potential Resources Centers. See “DBE Potential Resources Centers.” Include a completed copy of the form AA61, “List of Work Made Available” with the GFE documentation.










35.7. A regular letter or an unanswered telephone call is not an adequate “good faith” effort. A list of all sub-bidders, including the bidders not selected and non DBE Subcontractors, and bid amount for each item of the Work shall be submitted on Form AA62 If a low bid was not accepted, an explanation shall be provided.Federal Agencies (must be contacted and solicitations posted on their websites):



(415) 744-6820 Extension 0
















1820 Alhambra Blvd. (916) 227-9599





Notes:














37. FORMS:





3. Form AA63 DBE Good Faith Effort List of Subcontractors Solicited




38.1. Funded Contracts:

38.1.1. All projects funded by the U.S. Department of Transportation Federal Aviation Administration [FAA] are subject to the equal opportunity requirements set forth at 49 CFR Part 26, as well as the following Federal Requirements.

38.1.2. The Contractor shall carry out applicable requirements of 49 CFR Part 26 in the award and administration of DOT assisted contracts. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy, as the recipient deems appropriate. The provision shall be included in any agreements between Contractor and any Subcontractor.

38.1.3. To ensure there is equal participation of the DBE groups specified in 49 CFR 26.5, the City specifies a goal for Disadvantaged Business Enterprises (DBEs)

38.1.4. The Bidder shall make Work available to DBEs and select Work parts consistent with available DBE Subcontractors and Suppliers.

38.1.5. The Bidder Proposer shall meet the DBE goal shown in the Notice Inviting Bids or demonstrate that it made adequate GFE to meet this goal. Include a completed copy of the Form AA61, “List of Work Made Available” with the GFE documentation.

38.1.6. It is the Bidder’s responsibility to verify that the DBE is certified as DBE at date of Bid opening or Proposal due date. For a list of DBEs certified by the California Unified Certification Program, go to: http://www.dot.ca.gov/hq/bep/find_certified.htm.

38.1.7. Only DBE participation will count towards the DBE goal. DBE participation will count towards the City's Annual Anticipated DBE Participation Level (AADPL) and the California statewide goal.

38.1.8. Credit for materials or supplies Contractor purchases from DBEs counts towards the goal in the following manner:

1. 100% counts if the materials or supplies are obtained from a DBE manufacturer.

2. 60% counts if the materials or supplies are obtained from a DBE regular dealer.

3. Only fees, commissions, and charges for assistance in the procurement and delivery of materials or supplies count if obtained from a DBE that is neither a manufacturer nor regular dealer. 49 CFR 26.55 defines "manufacturer" and "regular dealer."


38.1.9. The Contractor or Subcontractor will receive credit towards the goal if the Contractor or Subcontractor employs a DBE trucking company that performs a commercially useful function as defined in 49 CFR 26.55.

38.1.10. Subcontracting Participation Goals:

1. The Bidders are encouraged to take positive steps to diversify and expand their subcontractor solicitation base and to offer contracting opportunities to all eligible DBE certified Subcontractors. To support its Equal Opportunity Contracting commitment, the City has implemented a race-conscious and race neutral project specific goal methodology required for all FAA funded projects.

2. The Bidder is required to meet the Project specific percentages for DBE’s as outlined in the Notice Inviting Bids or satisfy good faith documentation requirements.

3. The Bidder shall make good faith efforts, as defined in these specifications to meet the contract goal for DBE participation in the performance of this contract.

38.1.11. The Bidder shall include the City’s DBE Policy Statement in all its Subcontracts.








40. FORMS:

40.1. The Contractor shall demonstrate that efforts were made to attract DBEs on this contract. The Contractor and Subcontractors shall take the steps listed in these


specifications to assure that DBEs are used whenever possible as sources of supplies, construction, equipment, or services. In addition to the specified GFE documentation, the Bidder shall submit the following forms.



41. APPENDIX:

1. DBE Policy Statement For FAA Contracts Only


Note: Failure to comply with these specifications e.g., taking the specified steps prior to Bid opening, and to submit the forms located in Volume 2 with the Bid will lead to the Bid being declared non-responsive and, therefore, shall be rejected.

42.1. FHWA Requirements (Contracts via Caltrans)

42.1.1. The Bidders’ attention is directed to the provisions in Section 2, "Bidding," of the Caltrans Standard Specifications and conditions which the bidder must observe in the preparation of and the submission of the bid.Bidders shall be fully informed with respect to the requirements of the DBE Regulations and take necessary and reasonable steps to ensure that Disadvantaged Business Enterprises (DBEs) have opportunity to participate in the contract.

42.1.2. The Contractors are encouraged to take positive steps to diversify and expand their subcontractor solicitation base and to offer contracting opportunities to all eligible DBE certified Subcontractors. To support its Equal Opportunity Contracting commitment, the City has implemented a project specific goal methodology required for all Caltrans funded projects.

42.1.3. See the Notice Inviting Bids for the Subcontracting Participation requirements.

42.1.4. The Bidder's attention is directed to the provisions in Section 5, "Control of Work," of the Caltrans Standard Specifications and conditions which the bidder must observe in the preparation of and the submission of the bid.

42.1.5. The Contractor shall complete the following forms and shall submit the forms in accordance with the Caltrans Standard Specifications:

1. Final Report – Utilization of DBE, First Tier Subcontractors


2. Monthly DBE Trucking Verification

3. Exhibit 15-G Local Agency Bidder DBE Commitment

4. Subcontracting Request

5. Exhibit 15-H DBE Information-Good Faith Efforts

6. DBE Certification Status Change

7. FHWA PR-1391








44. FORMS:



1. Final Report – Utilization of DBE, First Tier Subcontractors

2. Monthly DBE / DBE Trucking Verification


3. Exhibit 15 G - Local Agency Bidder DBE Commitment (Construction Contracts)

4. Subcontracting Request

5. Exhibit 15-H DBE Information-Good Faith Efforts

6. DBE Certification Status Change

7. FHWA PR-1391


FUNDING AGENCY PROVISIONS

FORMS

Job Order Contract (JOC) Building Improvements 125 | Page Attachment D - Job Order Contract Funding Agency Provisions (Rev. Jun. 2019) EPA Form 6100-2

OMB Control No.: 2090-0030 Approved: 08/13/2013

Approval Expires: 08/31/2015

Disadvantaged Business Enterprise (DBE) Program

DBE Subcontractor Participation Form

An EPA Financial Assistance Agreement Recipient must require its prime contractors to provide this form to its DBE subcontractors. This form gives a DBE1 subcontractor2 the opportunity to describe work received and/or report any concerns regarding the EPA-funded project (e.g., in areas such as termination by prime contractor, late payments, etc.). The DBE subcontractor can, as option, complete and submit this form to the EPA DBE Coordinator at any time during the project period of performance.

Subcontractor Name Project Name

Bid / Proposal No. Assistance Agreement ID No. (if known) Point of Contact

Address

Telephone No. Email Address

Prime Contractor Name Issuing/Funding Entity:

Contract

Item Number

Description of Work Received from the Prime Contractor Involving Construction, Services, Equipment or Supplies

Amount Received

by Prime

Contractor

1 A DBE is a Disadvantage, Minority, or Woman Business Enterprise that has been certified by an entity from which EPA accepts certifications as described in 40 CFR 33.204-33.205 or certified by EPA. EPA accepts certifications from entities that meet or exceed EPA certification standards as described in 40 CFR 33.202. 2 Subcontractor is defined as a company, frim, joint venture, or individual who enters into an agreement with a contractor to provide services pursuant to an EPA award of financial assistance.

EPA FORM 6100-2 (DBE Subcontractor Participation Form)

Job Order Contract (JOC) Building Improvements 126 | Page Attachment D - Job Order Contract Funding Agency Provisions (Rev. Jun. 2019) EPA Form 6100-2

OMB Control No.: 2090-0030

Approved: 8/13/2013 Approval Expires: 08/31/2015

Disadvantaged Business Enterprise (DBE) Program

DBE Subcontractor Participation Form Please use the space below to report any concerns regarding the above EPA-funded project:

Subcontractor Signature Print Name

Title Date

The public reporting and recordkeeping burden for this collection of information is estimated to average three (3) hours per

response. Send comments on the Agency’s need for this information, the accuracy of the provided burden estimates, and any

suggested methods for minimizing respondent burden, including through the use of automated collection techniques to the

Director, Collection Strategies Division, U.S. Environmental Protection Agency (2822T), 1200 Pennsylvania Ave., NW, Washington,

D.C. 20460. Include the OMB control number in any correspondence. Do not send the completed form to this address.

EPA FORM 6100-2 (DBE Subcontractor Participation Form)

Job Order Contract (JOC) Building Improvements 127 | Page Job Order Contract Funding Agency Provisions (Rev. Jun. 2019) EPA FORM 5700-52A

OMB CONTROL NO. 2090-0030 APPROVED: 05/01/2008 APPROVAL EXPIRES: 12/22/2013

U.S. ENVIRONMENTAL PROTECTION AGENCY MBE/WBE UTILIZATION UNDER FEDERAL GRANTS

AND COOPERATIVE AGREEMENTS

PART I. (Reports are required even if no procurements are made during the reporting period.)

1A. FEDERAL FISCAL YEAR

(Oct. 1-Sep 30), _______

1B. REPORTING PERIOD (Check ALL appropriate boxes) □ 1st (Oct-Dec) □ 2nd (Jan-Mar) □ 3rd (Apr-Jun) □ 4th (Jul-Sep)

□��Semi-Annual (Oct-Mar) □ Semi-Annual (Apr-Sep)

□ Annual □ Check if this is the last report for the project (Project completed).

1C. REVISION OF A PRIOR REPORT?

□Yes □No Year: _________ Quarter: _______

BRIEFLY DESCRIBE THE REVISIONS YOU ARE MAKING:

2A. EPA FINANCIAL ASSISTANCE OFFICE ADDRESS ( ATTN: DBE Coordinator):

3A. RECIPIENT NAME AND ADDRESS

2B. EPA DBE COORDINATOR Name: E-mail:

2C. PHONE: Fax:

3B. RECIPIENT REPORTING CONTACT: Name: E-mail:

3C. PHONE: Fax:

4A. FINANCIAL ASSISTANCE AGREEMENT ID NUMBER (SRF State Recipients, refer to Instructions for Completion of blocks 4A, 5A and 5C.)

4B. FEDERAL FINANCIAL ASSISTANCE PROGRAM TITLE or CFDA NUMBER:

5A. TOTAL ASSISTANCE AGREEMENT AMOUNT (SRF State Recipients, refer to Instructions for Completion of blocks 4A, 5A and 5C.)

EPA Share: $_______________________

Recipient Share: $____________________

5B. If NO procurement and NO accomplishments were made this reporting period (by the recipients, sub-recipients, loan recipients, and prime contractors), CHECK and SKIP to Block No. 7. (Procurements are all expenditures through contract, order, purchase, lease or barter of supplies, equipment, construction, or services needed to complete Federal assistance programs. Accomplishments, in this context, are procurements made with MBEs and/or WBEs.

□��

5C. Total Procurements This Reporting Period (Only include amount not reported in any prior reporting period) Total Procurement Amount $________________________ (Include total dollar values awarded by recipient, sub-recipients and SRF loan recipients, including MBE/WBE expenditures.)

5D.

Were sub-awards issued under this assistance agreement? Yes □ No □ Were contracts issued under this assistance agreement ? Yes □ No □

5E. MBE/WBE Accomplishments This Reporting Period

Actual MBE/WBE Procurement Accomplished: (Include total dollar values awarded by recipient, sub-recipients, SRF loan recipients and Prime Contractors.)

Construction Equipment Services Supplies Total

$MBE: ______________ _____________ __________ _________ ________

$WBE: ______________ _____________ __________ _________ ________

6. COMMENTS: (If no MBE/WBE procurements were accomplished during the reporting period, please explain what steps you are taking to achieve the MBE/WBE Program requirements specified in the terms and conditions of the Assistance Agreement.)

7. NAME OF RECIPIENT’S AUTHORIZED REPRESENTATIVE TITLE

8. SIGNATURE OF RECIPIENT’S AUTHORIZED REPRESENTATIVE DATE

EPA FORM 5700-52A available electronically at http://www.epa.gov/osbp/pdfs/5700_52a.pdf

Job Order Contract (JOC) Building Improvements 128 | Page Job Order Contract Funding Agency Provisions (Rev. Jun. 2019) Exhibit - EPA FORM 5700-52A

PART II. MBE/WBE PROCUREMENTS MADE DURING REPORTING PERIOD EPA Financial Assistance Agreement Number:

Type of product or service codes:

1 = Construction 2 = Supplies 3 = Services 4 = Equipment

Note: Refer to Terms and conditions of your Assistance Agreement to determine the frequency of reporting. Recipients are required to submit MBE/WBE reports to EPA beginning with the Federal fiscal year quarter the recipients receive the award, continuing until the project is completed. EPA FORM 5700-52A - (Approval Expires 12/22/13)

1. Procurement Made By 2. Business Enterprise 3. $ Value of Procurement

4. Date of Procurement

MM/DD/YY

5. Type of Product or ServicesA

(Enter Code)

6. Name/Address/Phone Number of MBE/WBE Contractor or Vendor

Recipient Sub-Recipient and/or SRF Loan Recipient

Prime Minority Women


Instructions: A. General Instructions: MBE/WBE utilization is based on 40 CFR Part 33. EPA Form 5700-52A must be completed by recipients of Federal grants, cooperative agreements, or other Federal financial assistance which involve procurement of supplies, equipment, construction or services to accomplish Federal assistance programs. Recipients are required to report 30 days after the end of each federal fiscal quarter, semiannually, or annually, per the terms and conditions of the financial assistance agreement.

Quarterly Reporting Due Date

Semiannual Reporting Due Date

Annual Reporting Due Date

Agreements awarded prior to May 27,

2008

January 30, April

30, July 30, October

30

N/A

October

30

Agreements awarded on

or after May 27,

2008

N/A

April 30,

October 30

October

30

MBE/WBE program requirements, including reporting, are material terms and conditions of the financial assistance agreement. B. Definitions: Procurement is the acquisition through contract, order, purchase, lease or barter of supplies, equipment, construction or services needed to accomplish Federal assistance programs. A contract is a written agreement between an EPA recipient and another party (also considered “prime contracts”) and any lower tier agreement (also considered “subcontracts”) for equipment, services, supplies, or construction necessary to complete the project. This definition excludes written agreements with another public agency. This definition includes personal and professional services, agreements with consultants, and purchase orders. A minority business enterprise (MBE) is a business concern that is (1) at least 51 percent owned by one or more minority individuals, or, in the case of a publicly owned business, at least 51 percent of the stock is owned by one or more minority individuals; and (2) whose daily business operations are managed and directed by one or more of the minority owners. In

order to qualify and participate as an MBE prime or subcontractor for EPA recipients under EPA’s DBE Program, an entity must be properly certified as required by 40 CFR Part 33, Subpart B. U.S. citizenship is required. Recipients shall presume that minority individuals include Black Americans, Hispanic Americans, Native Americans, Asian Pacific Americans, or other groups whose members are found to be disadvantaged by the Small Business Act or by the Secretary of Commerce under section 5 of Executive order 11625. The reporting contact at EPA can provide additional information. A woman business enterprise (WBE) is a business concern that is, (1) at least 51 percent owned by one or more women, or, in the case of a publicly owned business, at least 51 percent of the stock is owned by one or more women and (2) whose daily business operations are managed and directed by one or more of the women owners. In order to qualify and participate as a WBE prime or subcontractor for EPA recipients under EPA’s DBE Program, an entity must be properly certified as required by 40 CFR Part 33, Subpart B. Business firms which are 51 percent owned by minorities or women, but are in fact managed and operated by non-minority individuals do not qualify for meeting MBE/WBE procurement goals. U.S. Citizenship is required. Good Faith Efforts A recipient is required to make the following Good Faith Effortwhenever procuring construction, equipment, services, and supplies under an EPA financial assistance agreement. These Good Faith Effortfor utilizing MBEs and WBEs must be documented. Such documentation is subject to EPA review upon request: 1. Include of MBEs/WBEs on solicitation lists. 2. Assure that MBEs/WBEs are solicited once they

are identified. 3. Divide total requirements into smaller tasks to

permit maximum MBE/WBE participation, where feasible.

4. Establish delivery schedules which will

encourage MBE/WBE participation, where feasible.

5. Encourage use of the services of the U.S.

Department of Commerce's Minority Business Development Agency (MBDA) and the U.S. Small Business Administration to identify MBEs/WBEs.


6. Require that each party to a subgrant, subagreement, or contract award take the Good Faith Effortoutlined here.

C. Instructions for Part I: 1a. Specify Federal fiscal year this report covers.

The Federal fiscal year runs from October 1st through September 30th (e.g. November 29, 2010 falls within Federal fiscal year 2011)

1b. Check applicable reporting box, quarterly,

semiannually, or annually. Also indicate if this is the last report for the project.

1c. Indicate if this is a revision to a previous year, half-year, or quarter, and provide a brief description of the revision you are making.

2a-c. Please refer to your financial assistance

agreement for the mailing address of the EPA financial assistance office for your agreement.

The “EPA DBE Reporting Contact” is the DBE Coordinator for the EPA Region from which your financial assistance agreement was originated. For a list of DBE Coordinators please refer to the EPA OSBP website at www.epa.gov/osbp. Click on “Regional Contacts” for the name of your coordinator.

3a-c. Identify the agency, state authority, university

or other organization which is the recipient of the Federal financial assistance and the person to contact concerning this report.

4a. Provide the Assistance Agreement number

assigned by EPA. A separate report must be submitted for each Assistance Agreement.

*For SRF recipients: In box 4a list numbers for ALL OPEN Assistance Agreements being reported on this form. Please note that although the New DBE Rule (which took effect May 27, 2008) revised the reporting frequency requirements from quarterly to semiannually, that change only applies to agreements awarded AFTER the New DBE Rule took effect. Therefore, SRF recipients may either continue to report activity for all Agreements on one form on a quarterly basis until the last award that was made prior to the New DBE Rule has been closed out; OR, the recipient may split the submission of SRF reports into quarterly reports for Agreements awarded prior the New DBE Rule, and semiannually for the awards made after the New DBE Rule.

4b. Refer back to Assistance Agreement document

for this information.

5a. Provide the total amount of the Assistance

Agreement which includes Federal funds plus recipient matching funds and funds from other sources.

*For SRF recipients only: SRF recipients will not enter an amount in 5a. Please leave 5a blank.

5b. Self-explanatory. 5c. Provide the total dollar amount of ALL

procurements awarded this reporting period by the recipient, sub-recipients, and SRF loan recipients, including MBE/WBE expenditures. For example: Actual dollars for procurement from the procuring office; actual contracts let from the contracts office; actual goods, services, supplies, etc., from other sources including the central purchasing/ procurement centers).

*NOTE: To prevent double counting on line 5C,

if any amount on 5E is for a subcontract and the prime contract has already been included on Line 5C in a prior reporting period, then report the amount going to MBE or WBE subcontractor on line 5E, but exclude the amount from Line 5C. To include the amount on 5C again would result in double counting because the prime contract, which includes the subcontract, would have already been reported.

5d. State whether or not sub-awards and/or

subcontracts have been issued under the assistance agreement by indicating “yes” or “no”.

5e. Where requested, also provide the total dollar

amount of all MBE/WBE procurement awarded during this reporting period by the recipient, sub-recipients, SRF loan recipients, and prime contractors in the categories of construction, equipment, services and supplies. These amounts include Federal funds plus recipient matching funds and funds from other sources.

*For SRF recipients only: In 5c please enter the total procurement amount for the quarter, or semiannual period, under all of your SRF Assistance Agreements. The figure reported in this section is not directly tied to an individual Assistance Agreement identification number. (SRF state recipients report state procurements in this section)

6. If there were no MBE/WBE accomplishments this reporting period, please briefly explain what specific steps you are taking to achieve the


MBE/WBE requirements specified in the terms and conditions of the Assistance Agreement.

7. Name and title of official administrator or designated reporting official.

8. Signature, month, day, and year report

submitted. D. Instructions for Part II: For each MBE/WBE procurement made under this assistance agreement during the reporting period, provide the following information: 1. Check whether this procurement was made by

the recipient, sub-recipient/SRF loan recipient, or the prime contractor.

2. Check either the MBE or WBE column. If a firm

is both an MBE and WBE, the recipient may choose to count the entire procurement towards EITHER its MBE or WBE accomplishments. The recipient may also divide the total amount of the procurement (using any ratio it so chooses) and count those divided amounts toward its MBE and WBE accomplishments. If the recipient chooses to divide the procurement amount and count portions toward its MBE and WBE accomplishments, please state the appropriate amounts under the MBE and WBE columns on the form. The combined MBE and WBE amounts for that MBE/WBE contractor must not exceed the “Value of the Procurement” reported in column #3

3. Dollar value of procurement. 4. Date of procurement, shown as month, day,

year. Date of procurement is defined as the date the contract or procurement was awarded, not the date the contractor received payment under the awarded contract or procurement, unless payment occurred on the date of award. (Where direct purchasing is the procurement method, the date of procurement is the date the purchase was made)

5. Using codes at the bottom of the form, identify

type of product or service acquired through this procurement (e.g., enter 1 if construction, 2 if supplies, etc).

6. Name, address, and telephone number of

MBE/WBE firm. **This data is requested to comply with provisions mandated by: statute or regulations (40 CFR Part 30, 31, and 33); OMB Circulars; or added by EPA to ensure sound and effective assistance management. Accurate,

complete data are required to obtain funding, while no pledge of confidentiality is provided. The public reporting and recording burden for this collection of information is estimated to average l hour per response annually. Burden means the total time, effort, or financial resources expended by persons to generate, maintain, retain, or disclosure or provide information to or for a Federal agency. This includes the time needed to review instructions; develop, acquire, install, and utilize technology and systems for the purposes of collecting, validating, and verifying information, processing and maintaining information, and disclosing and providing information; adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; search data sources; complete and review the collection of information; and transmit or otherwise disclose the information. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. Send comments on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including through the use of automated collection techniques to the Director, OPPE Regulatory Information Division, U.S. Environmental Protection Agency (2136), 1200 Pennsylvania Avenue, NW, Washington, D.C. 20460. Include the OMB Control number in any correspondence. Do not send the completed form to this address.

Job Order Contract (JOC) Building Improvements 132 | Page Job Order Contract Funding Agency Provisions (Rev. Jun. 2019) CWSRF Form 1 - DBE Good Faith Effort List of Subcontractors Solicited

Clean Water State Revolving Fund Loan Program DBE Instructions

FORM 1

DISADVANTAGE BUSINESS ENTERPRISE (DBE)

“GOOD FAITH” EFFORT LIST OF SUBCONTRACTORS SOLICITED

Form with information required to be submitted with the AOA package.

Contractor Name Contractor Address How Located Date of Contact

Contact Method

Task Description Response (Yes/No)

Job Order Contract (JOC) Building Improvements 133 | Page Job Order Contract Funding Agency Provisions (Rev. Jun. 2019) CWSRF Form 2 - DBE Good Faith Effort Bids Received List

Clean Water State Revolving Fund Loan Program DBE Instructions FORM 2

DISADVANTAGE BUSINESS ENTERPRISE (DBE) “GOOD FAITH” EFFORT BIDS RECEIVED LIST

Contractor Name Category (DBE)

Task Description

Bid Amount

Selected (Check)

Explanation for Not Selecting

Form with information required to be submitted with the AOA package. January 2009

Job Order Contract (JOC) Building Improvements 134 | Page Job Order Contract Funding Agency Provisions (Rev. Jun. 2019) CWSRF Form 3 - DBE Contractor Certification


FORM 3

DISADVANTAGE BUSINESS ENTERPRISE (DBE)


Firm Name:

Phone:

Address:

Principal Service or Product:

Bid Amount $

PLEASE INDICATE PERCENTAGE OF OWNERSHIP � DBE _____% Ownership � Prime Contractor

� Supplier of Material/Service

� Subcontractor

� Broker

� Sole Ownership

� Corporation

� Partnership

� Joint Venture

Certified by:

Title:

DBE Sub (ORIGINAL SIGNATURE AND DATE REQUIRED) Name:

Date:

IMPORTANT: CONTRACTORS CAN NO LONGER SELF-CERTIFY. THEY MUST BE CERTIFIED BY EPA, SMALL BUSINESS ADMINISTRATION (SBA), DEPARTMENT OF TRANSPORTATION (DOT) OR BY STATE, LOCAL, TRIBAL OR PRIVATE ENTITIES WHOSE CERTIFICATION CRITERIA MATCH EPA’S. PROOF OF CERTIFICATION MUST BE PROVIDED. A COPY OF THE CONTRACTOR CERTIFICATION MUST BE SUBMITTED WITH THIS FORM.

THIS FORM MUST BE SUBMITTED WITHIN 4 WORKING DAYS AFTER THE BID OPENING DATE.

January 2009

Job Order Contract (JOC) Building Improvements 135 | Page Job Order Contract Funding Agency Provisions (Rev. Jun. 2019) CWSRF Form 4 - Selected DBE PRIME Contractor/Recipient

Clean Water State Revolving Fund Loan Program DBE Instructions FORM 4 (Attachment B)

PRIME CONTRACTOR/RECIPIENT SELECTED DISADVANTAGE BUSINESS ENTERPRISE (DBE)

CONTRACT RECIPIENTS NAME: CONTRACT NO. OR SPECIFICATION NO.:

PROJECT DESCRIPTION: PROJECT LOCATION:

PRIME CONTRACTOR INFORMATION

NAME AND ADDRESS (Include Zip Code, Federal Employer Tax ID #):

PHONE:

AMOUNT OF CONTRACT $

DBE INFORMATION

��NONE*

��DBE

NAME AND ADDRESS (INCLUDE ZIP CODE) PHONE:

�� SUBCONTRACTOR � �JOINT VENTURE

�� SUPPLIER/SERVICE �� BROKER


WORK TO BE PERFORMED ��DBE

NAME AND ADDRESS (INCLUDE ZIP CODE)

PHONE:

�� SUBCONTRACTOR �� JOINT VENTURE


AMOUNT OF CONTRACT $ WORK TO BE PERFORMED ��DBE NAME AND ADDRESS (INCLUDE ZIP CODE)

PHONE:

�� SUBCONTRACTOR �� JOINT VENTURE



WORK TO BE PERFORMED TOTAL DBE AMOUNT: $ SIGNATURE OF PERSON COMPLETING FORM: TITLE: PHONE: DATE:

*Negative reports are required. ORIGINAL SIGNATURE AND DATE REQUIRED. Failure to complete and submit this form within 4

Working Days of bid opening will cause bid to be rejected as non-responsive. January 2009

Job Order Contract (JOC) Building Improvements 136 | Page Job Order Contract Funding Agency Provisions (Rev. Jun. 2019) CWSRF Form 5 - Summary of Bids Received from Subcontractors, Suppliers, and Brokers


FORM 5

January 2009

SUMMARY OF BIDS RECEIVED FROM SUBCONTRACTOR, SUPPLIERS, AND BROKERS (DBE & NON-DBE)

THIS SUMMARY IS PREPARED BY THE PRIME CONTRACTOR

Type of Job Company Name Selected Bid Amount DBE NON-DBE Explanation for Not Selecting

List type of jobs alphabetically, from low to high in each category and selected low bidder.

Job Order Contract (JOC) Building Improvements 137 | Page Job Order Contract Funding Agency Provisions (Rev. Jun. 2019) SDWSRF - Disadvantaged Business Enterprise Information Form

DBE Contractor Information Form (06/09 rev) Additional pages attached

DISADVANTAGED BUSINESS ENTERPRISE INFORMATION FORM WATER SYSTEM NAME:

WATER SYSTEM NUMBER-PROJECT NUMBER:.

PROJECT DESCRIPTION: PROJECT LOCATION:

PRIME CONTRACTOR INFORMATION

NAME/ADDRESS:

Name of firm

Contact person

Address,

City, Zip

Phone

Email

DBE MBE WBE OTHER

TYPE OF CONTRACT ARCHITECT/ENGINEER(A/E)

CONSTRUCTION

SUPPLIER/SERVICE (S/S)

AMOUNT OF CONTRACT/BID:

$ SUBCONTRACTOR INFORMATION

DBE MBE WBE OTHER NAME /ADDRESS:

Name of firm

Contact person

Address,

City, Zip

Phone

Email

SUBCONTRACTOR SUPPLIER/SERVICE

JOINT VENTURE BROKER

TYPE OF CONTRACT

CONTRACT AMOUNT $


Name of firm

Contact person

Address,

City, Zip

Phone

Email



TYPE OF CONTRACT

CONTRACT AMOUNT $


Name of firm

Contact person

Address,

City, Zip

Phone

Email



TYPE OF CONTRACT

CONTRACT AMOUNT $

SUBCONTRACTING PARTICIPATION PERCENTAGES FOR MBE & WBE PARTICIPATION

% MBE % WBE

Construction 14% 6%

Equipment 13% 19%

Services 31% 32%

Supplies 22% 14%

FORM COMPLETED BY:

NAME TITLE PHONE

SIGNATURE DATE EMAIL

Fai

lure

to c

ompl

ete

and

subm

it th

is fo

rm w

ith b

id -

Will

cau

se th

e bi

d to

be

reje

cted

as

non-

resp

onsi

ve

Job Order Contract (JOC) Building Improvements 138 | Page Job Order Contract Funding Agency Provisions (Rev. Jun. 2019) SDWSRF - Verification of Qualification

MINORITY BUSINESS ENTERPRISE/WOMEN'S BUSINESS ENTERPRISE (MBE/WBE)1

VERIFICATION OF QUALIFICATION

CALIFORNIA DEPARTMENT OF PUBLIC HEALTH DIVISION OF DRINKING WATER AND ENVIRONMENTAL MANAGEMENT

Firm Name:

Phone:

Address:

Principal Service or Product:

- MBE - WBE

-Prime Contractor - Supplier of Material/Service - Subcontractor - Broker

- Sole Ownership - Corporation - Partnership - Joint Venture

Names of Owners Percent

Ownership

MBE-

Ethnic Identity1

WBE

Agency Certifying MBE/WBE Qualification

Certifying Agency Address

Certifying Agency Phone

Certification number

Date Certified

Submitted by:

Date

1Refer to definitions on next page

Job Order Contract (JOC) Building Improvements 139 | Page Job Order Contract Funding Agency Provisions (Rev. Jun. 2019) SDWSRF - Verification of Qualification

MINORITY BUSINESS ENTERPRISE/WOMEN'S BUSINESS ENTERPRISE (MBE/WBE)

An MBE is a business that is, (1) at least 51 percent owned and controlled by one or more minority individuals, or, in the case of a publicly owned business, at least 51 percent of the stock is owned by one or more minority individuals; and (2) whose daily business operations are managed and directed by one or more of the minority owners.

A WBE is a business that is, (1) at least 51 percent owned by one or more women, or, in the case of a publicly owned business, at least 51 percent of the stock is owned by one or more women; and, (2) whose daily business operations are managed and directed by one or more of the women owners. MINORITY INDIVIDUALS INCLUDE: (a) American Indians

Persons having origins in any of the original peoples of North America. To qualify in this group, a person shall be a citizen of the United States and meet one or more qualifying criteria including:

(1) Be at least one-fourth Indian descent (as evidenced by registration with the Bureau of Indian Affairs);

(2) Characteristic Indian name;

(3) Recognition in the community as an Indian;

(4) Membership in a tribe, band or group of American Indians (recognized by the Federal Government), as evidenced by a tribal enrollment number or similar indication; and

(5) Characteristic Indian appearance and features. (b) Black Americans

U.S. citizens, other than Hispanic, having origins in any of the black racial groups of Africa. (c) Asian Americans

U.S. citizens having origins in any of the original peoples of the Far East, Southern Asia, the Indian subcontinent or the Pacific Islands. This area includes, for example, China, Japan, Korea, the Philippine Islands and Samoa. The Indian subcontinent takes in the countries of India, Pakistan, Bangladesh, Sri Lanka, Nepal, Sikkim, and Bhutan.

(d) Hispanic Americans

U.S. citizens of Mexican, Puerto Rican, Cuban, or other Spanish culture or origin, regardless of race. Only those persons from Central and South American countries who are of Spanish origin, descent, or culture should be included in this category. Persons from Brazil, Guyana, Surinam or Trinidad, for example, would be classified according to their race and would not necessarily be included in the Hispanic category. In addition, the category does not include persons from Portugal, who should be classified according to race.

(e) American Eskimos and American Aleuts CDPH MBEWBE Verification Form (11/2010 mv)

Job Order Contract (JOC) Building Improvements 140 | Page Job Order Contract Funding Agency Provisions (Rev. Jun. 2019) Form AA61 List of Work Made Available

LIST OF WORK MADE AVAILABLE

List items of the Work the Bidder made available to DBE firms. Identify those items of the Work the Bidder might otherwise perform with its own forces and those items that have been broken down into economically feasible units to facilitate DBE participation. For each item listed, show the dollar amount and percentage of the Base Bid. The Bidder must demonstrate that enough work to meet the goal was made available to DBE firms.

ITEM OF WORK MADE AVAILABLE NAICS

CODE

BIDDER NORMALLY

PERFORMS ITEM

(Y/N)

ITEM BROKEN DOWN TO

FACILITATE PARTICIPATION

(Y/N)

AMOUNT PERCENTAGE OF BASE BID

Job Order Contract (JOC) Building Improvements 141 | Page Job Order Contract Funding Agency Provisions (Rev. Jun. 2019) Form AA62 Summary of Bids Received

SUMMARY OF BIDS RECEIVED

Type of Job NAICS

CODES

Company Name Selected

(Y/N)

Bid Amount DBE Non-DBE Explanation for not Selecting

USE ADDITIONAL FORMS AS NECESSARY

Job Order Contract (JOC) Building Improvements 142 | Page Job Order Contract Funding Agency Provisions (Rev. Jun. 2019) Form AA63 DBE Good Faith Effort List of Subcontractors Solicited

DISADVANTAGE BUSINESS ENTERPRISE (DBE) GOOD FAITH EFFORT LIST OF SUBCONTRACTORS SOLICITED

USE ADDITIONAL FORMS AS NECESSARY

Contractor Name Contractor Address How Located Date of Contact Contact Method

Task Description Response

(Yes/No)

Job Order Contract (JOC) Building Improvements 143 | Page Job Order Contract Funding Agency Provisions (Rev. Jun. 2019) Final Report-Utilization of Disadvantaged Business Enterprises, First-Tier Subcontractors

STATE OF CALIFORNIA - DEPARTMENT OF TRANSPORTATION FINAL REPORT-UTILIZATION OF DISADVANTAGED BUSINESS ENTERPRISES FIRST-TIER SUBCONTRACTORS CEM-2402F (REV 7/2012)

ADA Notice For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 654-6410 or TDD (916) 654-3880 or write Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.

CONTRACT NUMBER COUNTY ROUTE POST MILES FEDERAL AID PROJECT NUMBER. ADMINISTERING AGENCY CONTRACT COMPLETION DATE

PRIME CONTRACTOR BUSINESS ADDRESS ESTIMATED CONTRACT AMOUNT $

ITEM NO. DESCRIPTION OF WORK PERFORMED AND MATERIAL

PROVIDED COMPANY NAME AND BUSINESS ADDRESS

DBE CERT. NUMBER

CONTRACT PAYMENTS

NON-DBE DBE UDBE DATE WORK COMPLETE DATE OF FINAL PAYMENT

$ $ $

$ $ $

$ $ $

$ $ $

$ $ $

$ $ $

$ $ $

$ $ $

$ $ $

$ $ $

$ $ $

ORIGINAL COMMITMENT $

DBE/UDBE

Total $ $ $

List all First Tier Subcontractors, Disadvantaged Business Enterprises (DBEs) and underutilized DBEs (UDBEs) regardless of tier, whether or not the firms were originally listed for goal credit. If actual UDBE utilization (or item of work) was different than that approved at the time of award, provide comments on the following page after the instructions. List actual amount paid to each entity.

I CERTIFY THAT THE ABOVE INFORMATION IS COMPLETE AND CORRECT

CONTRACTOR REPRESENTATIVE'S SIGNATURE BUSINESS PHONE NUMBER DATE

I CERTIFY THAT THE CONTRACTING RECORDS AND ON-SITE PERFORMANCE OF THE DBE(S) HAS BEEN MONITORED

RESIDENT ENGINEER'S SIGNATURE BUSINESS PHONE NUMBER DATE

COPY DISTRIBUTION - Caltrans contracts: Original - District Construction Copy- Contractor Copy - Resident Engineer Copy Resident Engineer Copy Distribution-Local Agency contracts: Original - Local Agency Resident

Engineer (submitted with the Report of Expenditure)

Copy- District Local Assistance Engineer Copy- Local Agency file

Job Order Contract (JOC) Building Improvements 144 | Page Job Order Contract Funding Agency Provisions (Rev. Jun. 2019) Final Report-Utilization of Disadvantaged Business Enterprises, First-Tier Subcontractors

STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION

FINAL REPORT - UTILIZATION OF DISADVANTAGED BUSINESS ENTERPRISES FIRST-TIER SUBCONTRACTORS CEM-2402F (REV. 7/2012)

Instructions

Contracts advertised on or before June 15, 2012 may contain Underutilized Disadvantaged Business Enterprise goals (UDBE). Participation for UDBE firms must be reported in the UDBE column. Contracts advertised after June 15, 2012 may contain Disadvantaged Business Enterprise (DBE) goals. Participation for contracts advertised after June 15, 2012 must be reported as DBE.

This form has three columns for entering the dollar value for the item(s) of work performed or provided by the firm. The Non-DBE column is used to enter the dollar value of work performed by first-tier subcontracting firms who are not certified as a DBE or UDBE.

The DBE column is used to enter the dollar value of work performed by firms that do not fall into the UDBE category as defined below. The UDBE column is used to enter the dollar value of work performed by firms who fall under one of the following underutilized groups:

• Black American • Asian Pacific American • Native American • Women

DBE and UDBE prime contractors are required to show the corresponding dollar value of work performed by their own forces.

If a firm performing work as a DBE or UDBE on the project becomes decertified and still performs work after the decertification date, enter the total value performed by this firm under the appropriate DBE and UDBE identification column. If a subcontractor performing work as a non-DBE on the project becomes certified as a DBE, enter the dollar value of all work performed after certification as a DBE under the appropriate identification column. Any changes to DBE certification must also be submitted on Form CEM-2403F.

Enter the Date Work Completed as well as the Date of Final Payment (the date when the prime contractor made the "final payment" to the firm for the portion of work listed as being completed). DBE and UDBE prime contractors are required to show the date of work performed by their own forces.

Use the comments section to explain any differences in the original commitment and the final utilization of DBE and UDBE firms.

The contractor and the resident engineer sign and date the form indicating that the information provided is completed and correct and the DBE paperwork and worksites have been monitored for participation.

Job Order Contract (JOC) Building Improvements 145 | Page Job Order Contract Funding Agency Provisions (Rev. Jun. 2019) Monthly DBE/DBE Trucking Verification

STATE OF CALIFORNIA · DEPARTMENT OF TRANSPORTATION MONTHLY DBE/DBE TRUCKING VERIFICATION CEM-2404(F) (REV 7/2012)

CONTRACT NO. MONTH YEAR

TRUCKING COMPANY OR OWNER OPERATOR

DBE Cert. No.

(if certified)

Company Name and Address Telephone Number

Truck No. CA No. Amount paid to DBE and DBE

Truckers

Amount Paid to DBE and DBE for lease arrangement with non-DBE and DBE

Date Paid Transportation Arrangement

(√ all that apply)

$

$

□Lease □ Non-DBE □ DBE □ DBE

$

$


$

$


$

$


$

$


$

$


$

$


$

$


$

$


TOTAL AMOUNT PAID

$ 0.00

$ 0.00

PRIME CONTRACTOR

BUSINESS ADDRESS BUSINESS PHONE NUMBER

*Upon request all lease agreements must be made available, in accordance with the special provisions.

I CERTIFY THAT THE ABOVE INFORMATION IS COMPLETE AND CORRECT

CONTRACTOR REPRESENTATIVE’S SIGNATURE

TITLE DATE

COPY DISTRIBUTION: ORIGINAL – RESIDENT ENGINEER COPY – Civil Rights

For individual with sensory disabilities, this document is available in alternate formats. For information call (916) 654-3880 or

ADA Notice write Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814

Job Order Contract (JOC) Building Improvements 146 | Page Job Order Contract Funding Agency Provisions (Rev. Feb. 2015) Monthly DBE/DBE Trucking Verification


MONTHLY DBE/DBE TRUCKING VERIFICATION CEM-2404(F) (REV 7/2012)

INSTRUCTIONS Contracts advertised on or before June 15, 2012 may contain DBE contract goals. DBE trucking participation must be reported on contracts with DBE goals only. All other trucking participation must be reported as DBE or non-DBE. In the "Amount paid to DBE and DBE Truckers" column, the contractor must show the dollar amount paid to: 1. DBE and DBE trucking companies using trucks it owns, insures and operates. Include

100 percent of the amount paid to DBE and DBE for trucking services provided. 2. DBE and DBE trucking companies who lease from other DBE and DBE trucking

companies or owner operators. Include 100 percent of the amount paid to DBE and DBE for trucking services provided.

3. To ensure proper crediting of participation on contracts advertised on or before June

15, 2012, identify the firm as a DBE or DBE in the "Transportation Arrangement" column.

4. In the “Amount paid to DBE/DBE for lease arrangement with non-DBE/DBE” column,

the contractor must show the dollar amount paid to the DBE and DBE who leases trucks from non-DBE firms. Include only the amount for the fee or commission received as a result of the lease arrangement.

5. In the “Transportation Arrangement” column check all that apply for each firm listed.

Use the DBE check box for all DBE trucking participation on contracts advertised after June 15, 2012.

6. The prime contractor or its representative must sign, including the individual's title

and the date, certifying that the information provided on the form is complete and accurate.

The form must be submitted to the Department of Transportation before the 15 of each month


Exhibit 15-G Local Agency Bidder DBE Commitment (Construction Contracts)

NOTE: PLEASE REFER TO INSTRUCTIONS ON THE REVERSE SIDE OF THIS FORM LOCAL AGENCY: ____________________________________ LOCATION: ___________________________________________ PROJECT DESCRIPTION: ___________________________________________________________________________________________ TOTAL CONTRACT AMOUNT: $ _____________________________________________________________________________________ BID DATE: ________________________________________________________________________________________________________ BIDDER'S NAME: __________________________________________________________________________________________________ CONTRACT DBE GOAL: __________________________________________________________________________________________

CONTRACT ITEM NO.

ITEM OF WORK AND DESCRIPTION OR SERVICES TO BE SUBCONTRACTED OR MATERIALS TO BE PROVIDED (or contracted if the bidder is a DBE)

DBE CERT NO. AND EXPIRATION DATE

NAME OF EACH DBE (Must be certified on the date bids are opened - include DBE address and phone number)

DOLLAR AMOUNT DBE

For Local Agency to Complete: Local Agency Contract Number: _________________________________________ Federal-aid Project Number: ____________________________________________ Federal Share: _______________________________________________________ Contract Award Date: _________________________________________________

Total Claimed DBE

Participation

$__________ __________%

Local Agency certifies that all DBE certifications have been verified and information is complete and accurate. ________________________ __________________________ ___________ Print Name Signature Date Local Agency Representative

_______________________________ Signature of Bidder

_______________________________ Date (Area Code) Tel. No.

_______________________________ Person to Contact (Please Type or Print)

(Area Code) Telephone Number: __________________

Local Agency Bidder DBE Commitment (Construction Contracts) (Rev 6/26/09)

Distribution: (1) Original – Local agency files


INSTRUCTIONS - LOCAL AGENCY BIDDER

DBE COMMITMENT (CONSTRUCTION CONTRACTS)

ALL BIDDERS:

PLEASE NOTE: This information may be submitted with your bid. If it is not, and you are the apparent low bidder or the second or third low bidder, it must submitted and received as specified in the Special Provisions. Failure to submit the required DBE commitment will be grounds for finding the bid nonresponsive

The form requires specific information regarding the construction contract: Local Agency, Location, Project Description, Total Contract Amount, Bid Date, Bidder’s Name, and Contract DBE Goal.

The form has a column for the Contract Item Number and Item of Work and Description or Services to be Subcontracted or Materials to be provided by DBEs. Prime contractors shall indicate all work to be performed by DBEs including, if the prime is a DBE, work performed by its own forces, if a DBE. The DBE shall provide a certification number to the Contractor and expiration date. Enter the DBE prime’s and subcontractors’ certification numbers. The form has a column for the Names of DBE contractors to perform the work (who must be certified on the date bids are opened and include the DBE address and phone number).

IMPORTANT: Identify all DBE firms participating in the project regardless of tier. Names of the First-Tier DBE Subcontractors and their respective item(s) of work listed should be consistent, where applicable, with the names and items of work in the "List of Subcontractors" submitted with your bid.

There is a column for the DBE participation dollar amount. Enter the Total Claimed DBE Participation dollars and percentage amount of items of work submitted with your bid pursuant to the Special Provisions. (If 100% of item is not to be performed or furnished by the DBE, describe exact portion of time to be performed or furnished by the DBE.) See Section “Disadvantaged Business Enterprise (DBE),” of the Special Provisions (construction contracts), to determine how to count the participation of DBE firms.

Exhibit 15-G must be signed and dated by the person bidding. Also list a phone number in the space provided and print the name of the person to contact.

Local agencies should complete the Local Agency Contract Award, Federal-aid Project Number, Federal Share, Contract Award Date fields and verify that all information is complete and accurate before signing and filing.

Job Order Contract (JOC) Building Improvements 149 | Page Job Order Contract Funding Agency Provisions (Rev. Feb. 2015) Subcontracting Request

STATE OF CALIFORNIA - DEPARTMENT OF TRANSPORTATION Page 1 of 2 SUBCONTRACTING REQUEST DC-CEM-1201 (REV. 5/2012)

This section is to be completed by the Resident Engineer 1. Total of bid items ...................................................................................................................................................................................... $ 2. Specialty items previously approved (if applicable, see Note in the instructions) .......................... $ 3. Specialty items this request (if applicable, see Note in the instructions) ......................................... $ 4. Total (lines 2+3) ........................................................................................................................................ $ 5. Contractor must perform with own forces (lines 1 minus 4) x % ................................................ $ 6. Bid items previously subcontracted...................................................................................................... $ 7. Bid items subcontracted (this request) ................................................................................................ $ 8. Total (lines 6+7) ........................................................................................................................................ $ 9. Balance of work Contractor to perform (lines 1 minus 8) .................................................................. $ APPROVED RESIDENT ENGINEER’S SIGNATURE DATE

COPY DISTRIBUTION: Original - Contractor Copy - Resident Engineer Copy - District Construction Office Copy- OBEO – [email protected] or FAX to (916) 324-1949

ADA Notice For individuals with se3nsory disabilities, this document is available in alternate formats. For information call (916) 654 -6410 or TDD (916) 654-3880 or write Records and Forms management, 1120 N Street, Sacramento, CA 95814

REQUEST NUMBER

CONTRACTOR NAME COUNTY ROUTE

BUSINESS ADDRESS CONTRACT NUMBER

CITY AND STATE ZIP CODE FEDERAL AID PROJECT NUMBER. (from special provisions)

SUBCONTRACTOR (Name, Business Address, Phone)

BID ITEM NUMBER(S)

PERCENTAGE OFBID ITEM

SUBCONTRACTED

CHECK IF: (See Categories Below)

1 2 3

DESCRIBE WORK WHEN LESS THAN 100%

OF WORK IS SUBCONTRACTED

DOLLAR AMOUNT BASED ON

BID AMOUNT

Categories: 1 Specialty 2 Listed Under Fair Practices Act 3 Certified DBE/UDBE/DVBE I Certify That: • The Standard Provisions for labor set forth in the contract apply to the subcontracted work. • If applicable, (Federal Aid Projects only) Section 14 (Federal Requirements) of the Special Provisions has been inserted in the subcontracts and will be incorporated in any lower-tier subcontract. Written contracts have been executed for the subcontracted work noted above. CONTRACTOR’S SIGNATURE

DATE

Job Order Contract (JOC) Building Improvements 150 | Page Job Order Contract Funding Agency Provisions (Rev. Feb. 2015) Subcontracting Request

STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION Page 2 of 2

SUBCONTRACTING REQUEST CEM-1201 (REV. 5/2012)

INSTRUCTIONS

All First-tier subcontractors must be included on a subcontracting request.

Before subcontracting work starts, the contractor will submit an original CEM-1201 according to the Standard Specifications. After approval, the RE returns the original to the contractor and complete the remaining distribution as listed on the bottom of the form.

When an entire item is subcontracted, show the contractor's bid price.

When a portion of an item is subcontracted, describe the portion and show the percentage of the bid item and value.

In August 2008, the Standard Specifications were amended to eliminate specialty items. Enter Zeros or applicable amounts for specialty items should be entered in lines 2 and 3 of this form, depending on whether the contract includes the amendment.

THIS FORM IS NOT TO BE USED FOR SUBSTITUTIONS OF SUBCONTRACTORS AND DBE, DVBE OR SMALL BUSINESS ENTITIES

Job Order Contract (JOC) Building Improvements 151 | Page Job Order Contract Funding Agency Provisions (Rev. Feb. 2015) Exhibit E - Exhibit 15-H DBE Information - Good Faith Efforts

EXHIBIT 15-H DBE INFORMATION — GOOD FAITH EFFORTS

DBE INFORMATION - GOOD FAITH EFFORTS

Federal-aid Project No. Bid Opening Date:

The City of San Diego established a Disadvantaged Business Enterprise (DBE) goal of XXX.X% for this project. The information provided herein shows that a good faith effort was made.

Lowest, second lowest and third lowest bidders shall submit the following information to document adequate good faith efforts. Bidders should submit the following information even if the “Local Agency Bidder DBE Commitment” form indicates that the bidder has met the DBE goal. This will protect the bidder’s eligibility for award of the contract if the administering agency determines that the bidder failed to meet the goal for various reasons, e.g., a DBE firm was not certified at bid opening, or the bidder made a mathematical error.

Submittal of only the “Local Agency Bidder DBE Commitment” form may not provide sufficient documentation to demonstrate that adequate Good Faith Effort was made.

The following items are listed in the Section entitled “Submission of DBE Commitment” of the Special Provisions:

A. The names and dates of each publication in which a request for DBE participation for this project was placed by the bidder (please attach copies of advertisements or proofs of publication):

Publications Date of Advertisement

B. The names and dates of written notices sent to certified DBEs soliciting bids for this project and the dates and methods used for following up initial solicitations to determine with certainty whether the DBEs were interested (please attach copies of solicitations, telephone records, fax confirmations, etc.):

Names of DBEs Solicited Date of Initial Solicitation Follow Up Methods and Dates


C. The items of work which the bidder made available to DBE firms including, where appropriate, any breaking down of the contract work items (including those items normally performed by the bidder with its own forces) into economically feasible units to facilitate DBE participation. It is the bidder's responsibility to demonstrate that sufficient work to facilitate DBE participation was made available to DBE firms.

Items of Work

Bidder Normally

Performs Item (Y/N)

Breakdown of Items

Amount($) Percentage Of Contract

D. The names, addresses and phone numbers of rejected DBE firms, the reasons for the bidder's rejection of the DBEs, the firms selected for that work (please attach copies of quotes from the firms involved), and the price difference for each DBE if the selected firm is not a DBE:

Names, addresses and phone numbers of rejected DBEs and the reasons for the bidder's rejection of the DBEs:

Names, addresses and phone numbers of firms selected for the work above:


E. Efforts made to assist interested DBEs in obtaining bonding, lines of credit or insurance, and any technical assistance or information related to the plans, specifications and requirements for the work which was provided to DBEs

F. Efforts made to assist interested DBEs in obtaining necessary equipment, supplies, materials or related assistance or services, excluding supplies and equipment the DBE subcontractor purchases or leases from the prime contractor or its affiliate:

G. The names of agencies, organizations or groups contacted to provide assistance in contacting, recruiting and using DBE firms (please attach copies of requests to agencies and any responses received, i.e., lists, Internet page download, etc.):

Name of Agency/Organization Method/Date of Contact Results

H. Any additional data to support a demonstration of Good Faith Effort (use additional sheets if necessary):

NOTE: USE ADDITIONAL SHEETS OF PAPER IF NECESSARY.


STATE OF CALIFORNIA – DEPARTMENT OF TRANSPORTATION

DISADVANTAGED BUSINESS ENTERPRISES (DBE) CERTIFICATION STATUS CHANGE CEM-2403F (REV 7/2012)

CONTACT NUMBER COUNTY ROUTE POST MILES ADMINISTERING AGENCY CONTRACT COMPLETION DATE

PRIME CONTRACTOR BUSINESS ADDRESS ESTIMATED CONTRACT AMOUNT $

The Contractor: List all DBEs with changes in certification status (certified/decertified) while in your employ, whether or not firms were originally listed for good credit. Attach DBE certification/decertification letter in accordance with the Special Provisions

CONTRACT ITEM NO.

FIRM NAME ANDBUSINESS ADDRESS

BUSINESSPHONE CERTIFICATION NUMBER AMOUNT PAID WHILE

CERTIFIED

CERTIFICATION/ DECERTIFICATIONDATE

Letter attached

Comments:

I CERTIFY THAT THE ABOVE INFORMATION IS COMPLETE AND CORRECT CONTRACTOR REPRESENTATIVE SIGNATURE

TITLE BUSINESS PHONE NUMBER DATE

TO THE BEST OF MY KNOWLEDGE, THE ABOVE INFORMATION IS COMPLETE AND CORRECT RESIDENT ENGINEER

BUSINESS PHONE NUMBER DATE

COPY DISTRIBUTION: Original – OBEO – email [email protected] or FAX to (916) 324-1949 Copy – Contractor Copy – District Construction Copy – Resident Engineer

Job Order Contract (JOC) Building Improvements 155 | Page Job Order Contract Funding Agency Provisions (Rev. Feb. 2015) Disadvantaged Business Enterprises (DBE) Certification Status Change


DISADVANTAGED BUSINESS ENTERPRISES (DBE) CERTIFICATION STATUS CHANGE CEM-2403F (REV 7/2012)

The top of the form requires specific information regarding the construction project: Contract Number, County, Route, Post Miles, the Administering Agency (Caltrans), the Contract Completion Date and the Estimated Contract Amount. It requires the prime contractor name and business address. The focus of the form is to substantiate and verify the actual DBE dollar amount paid to contractors on federally funded projects that had a change in certification status during the course of the completion of the contract. The two situations that are being addressed by CEM 2403F are if a firm certified as a DBE and doing construction work on the contract during the course of the project becomes decertified, and

if a non-DBE firm doing work on the contract during the course of the project becomes certified as a DBE.

The form has a column to enter the Contract Item No. (or Item No's), as well as a column for the Subcontractor name and Business Address, Business Phone and contractor's Certification Number.

The column entitled Amount Paid While Certified will be used to enter the actual dollar value of the work performed by those contractors who meet the conditions as outlined above during the time period they are certified as a DBE. This column on the CEM-2403(F) should only reflect the dollar value of work performed while the firm was certified as a DBE.

The column called Certification/Decertification Date (Letter attached) will reflect either the date of the Decertification Letter sent out by the Civil Rights or the date of the Certification Certificate mailed out by the Civil Rights. There is a box to check that support documentation is attached to the CEM-2403(F) form.

There is a comments section for any additional information that may need to be provided regarding any of the above transactions.

The CEM-2403(F) has an area at the bottom where the contractor and the resident engineer sign and date that the information provided is complete and correct.

Job Order Contract (JOC) Building Improvements 156 | Page Job Order Contract Funding Agency Provisions (Rev. Feb. 2015) FHWA PR-1391

FEDERAL-AID HIGHWAY CONSTRUCTION CONTRACTORS ANNUAL EEO REPORT 1. MARK APPROPRIATE BOX 2. COMPANY NAME, CITY, STATE 3. PROJECT NUMBER: 4. DOLLAR AMOUNT OF CONTRACT 5. PROJECT LOCATION (County and State)

� Contractor

� Subcontractor

This collection of information is required by law and regulation 23 U.S.C. 140a and 23 CFR Part 230. The OMB control number for this collection is 2125-0019 expiring in March, 2016

6. WORKFORCE ON FEDERAL-AID AND CONSTRUCTION SITE(S) DURING LAST FULL PAY PERIOD ENDING IN JULY 20 (INSERT YEAR)

TABLE A TABLE B

JOB CATEGORIES TOTAL

EMPLOYED TOTAL/RACIAL/

ETHNIC MINORITY

BLACK OR AFRICAN

AMERICAN

HISPANIC OR LATINO

AMERICAN INDIAN

OR ALASKA NATIVE

ASIAN

NATIVE HAWAIIAN OR OTHER

PACIFIC ISLANDER

TWO OR MORE RACES

WHITE APPRENTICES ON THE JOB

TRAINEES

M F M F M F M F M F M F M F M F M F M F M F

OFFICIALS

SUPERVISORS

FOREMEN/WOMEN

CLERICAL

EQUIPMENT OPERATORS

MECHANICS

TRUCK DRIVERS

IRONWORKERS

CARPENTERS

CEMENT MASONS

ELECTRICIANS

PIPEFITTER/PLUMBERS

PAINTERS

LABORERS-SEMI SKILLED

LABORERS-UNSKILLED

TOTAL

TABLE C ( Table B data by racial status) APPRENTICES

OJT TRAINEES

8. PREPARED BY: (Signature and Title of Contractors Representative) 9. DATE 10. REVIEWED BY (Signature and Title of State Highway Official) 11. DATE

Form FHWA-1391 (Rev. 09-13) PREVIOUS EDITIONS ARE OBSOLETE


LOCAL AGENCY NOTIFICATION TO CONTRACTOR

INSTRUCTIONS FOR COMPLETING

FEDERAL HIGHWAY ADMINSITRATION (FHWA) PR-1391 FORM

The FHWA PR-1391 form shall be used to report the number of minority and non-minority employees by gender employed in each work classification on a Federal-aid contract. The “Job Categories” column is used to identify work classification. When identifying work classifications, use only the categories listed on the form. Miscellaneous job categories are to be incorporated in the most appropriate category listed on the form.

WHO MUST REPORT:

Each prime contractor and subcontractor regardless of tier who has a Federal-aid contract exceeding $10,000 must report.

REPORT DATA:

Each contractor is to collect data of the number of project personnel who worked all or any part of the last full week of July. Contractors who do not perform any work during the last full week of July must write “Not Applicable” across the form, sign, date and return.

DUE DATE:

Due on or before the 12th of August to the Local Agency Resident Engineer. The Local Agency Resident Engineer must submit the report to the District Local Assistance Engineer by August 26th.

DEFINITION OF TERMS:

OFFICIALS (Managers): Officers, project engineers, superintendents, etc., who have management-level responsibility and authority.

SUPERVISORS: All levels for project supervision, if any, between management and foremen levels.

FOREMEN/WOMEN: Men and women in direct charge of crafts workers and laborers performing work on the project.

MECHANICS: Equipment service and maintenance personnel.

LABORERS, SEMI-SKILLED: All laborers classified by specialized type of work.

LABORERS, UNSKILLED: All non-classified laborers.

OTHERS: Miscellaneous job classifications are to be incorporated in the most appropriate category listed on the form. All employees on the project should be accounted for.


BLOCK ENTRIES

CHECK APPROPRIATE BLOCK – Check only one box.

COMPANY NAME, CITY, STATE – Enter the firm’s name, city or town, and state. Do not abbreviate.

(3) PROJECT NUMBER – Enter all Federal-aid project number(s) associated with the contract number. (If you are a subcontractor and do not know the Federal-aid project number, contact the prime contractor).

(4) DOLLAR AMOUNT OF CONTRACT – Enter dollar amount of contract, including amended amounts.

I. PROJECT LOCATION – Enter all county(ies) and state(s) associated with the contract number. (If you are a subcontractor and do not know the county(ies) and state(s), contact the prime contractor).

II. WORKFORCE ON FEDERAL-AID AND CONSTRUCTION SITE(S) DURING LAST FULL PAY PERIOD ENDING IN JULY 20__ (INSERT YEAR) – Enter the last two digits of the calendar year you are reporting data for.

TABLE A – Enter number of employee(s) based on race, gender and job category during the reporting period.

TABLE B – Enter number of apprentice(s) and on-the-job trainee(s) based on gender and job category during the reporting period.

TABLE C – enter number of apprentice(s) and on-the-job trainee(s) based on race and gender during the reporting period.

1. PREPARED BY – Signature and Title of Contractor’s Representative certifying the reported data to be true.

2. DATE – Enter the date the Contractor’s Representative signed this form.

3. REVIEWED BY – Signature and Title of Local Agency Official reviewing data.

4. DATE – Enter the date the Local Agency Official signed this form.

Job Order Contract (JOC) Building Improvements 159 | Page Job Order Contract Funding Agency Provisions (Rev. Feb. 2015) FAA Funding Agency Provisions Appendix

FUNDING AGENCY PROVISIONS

APPENDIX

Job Order Contract (JOC) Building Improvements 160 | Page Job Order Contract Funding Agency Provisions (Rev. Feb. 2015) DBE Policy Statement for FAA Contracts

DBE POLICY STATEMENT FOR FAA CONTRACTS

The City of San Diego (Sponsor) has established a Disadvantaged Business Enterprise (DBE) program in accordance with the requirements of the U.S. Department of Transportation (DOT). As a recipient of funding from the DOT, the City of San Diego signed an assurance to comply with the provisions of 49 CFR Part 26, “Participation by Disadvantaged Business Enterprise in DOT Programs.”

It is the policy of the Airports Division that DBE’s, as defined in 49 CFR Part 26, shall have the maximum opportunity to participate in the performance of contracts assisted in whole or in part by funds granted by the DOT.

The Airports Division prohibits discrimination against any person because of race, color, sex, or national origin, in the award or performance of any contract subject to the requirements of 49 CFR Part 26.

The Airports Division will require its employees, agents, and contractors to adhere to the provisions of this program.

This policy statement is disseminated to appropriate departments of the City of San Diego, to organizations of minority and disadvantaged businesses and to non-minority business and community organizations of the City of San Diego.

Deputy Director, Airports Division

Date:


CERTIFICATE OF INSURANCE

Description of Contract: City of San Diego - CONSTRUCTION OF

Type of Insurance: Workers’ Compensation Insurance

THIS IS TO CERTIFY that the following policy has been issued by the below stated company in conformance with the requirements of Section 7-1.12B (1)(a) “Workers’ Compensation”, of the Caltrans Standard Specifications and is in force at this time.

The Company will give at least thirty (30) days written notice by certified mail to the City and Consulting Engineer prior to any material change or cancellation of said policy.

POLICY NUMBER EXPIRATION DATE LIMITS OF LIABILITY

Statutory Limits Under the laws of the State of California

Name Insured (Contractor) Insured Company

Street Number Street Number

City and State City and State

Company Representative

State of ) ) (SEE NOTICE ON NEXT PAGE)

County of )

On this day of , 20 , before me personally came to me known, who being duly sworn, did depose and say: That is an authorized representative of the acknowledged to me that executed the within instrument on behalf of said insurance company.

IN WITNESS WHEREOF, I have signed and affixed my official seal on the date in this certificate first above written.

Notary Public

Certificate of Insurance (Workers’ Compensation) - 1 of 2


Insurance Company Agent for Service of Process in California:

Name Agency



Telephone No. Telephone No.

This certificate or verification of insurance is not an insurance policy and does not amend, extend, or alter the coverage afforded by the policies listed herein. Notwithstanding any requirements, term, or condition of any contract or other document with respect to which this certificate or verification of insurance may be issued or may pertain, the insurance afforded by the policies.

NOTICE:

No substitution or revision to the above certificate form will be accepted. If the insurance called for is provided by more than one insurance company, a separate certificate in the exact above form shall be provided for each insurance company.

Insurers must be authorized to do business and have an agent for service of process in California and have an “A-” policyholder’s rating and financial rating of at least Class VII in accordance with the most current Best’s Rating.

Certificate of Insurance (Workers’ Compensation) - 2 of 2


INSURANCE ENDORSEMENT


Type of Insurance: Workers’ Compensation Insurance

This endorsement forms a part of Policy No. .

ENDORSEMENT: It is agreed that with respect to such insurance as is afforded by the policy, the Company waives any right of subrogation it may acquire against the City, the Consulting Engineer, and their consultants, and each of their directors, officers, agents, and employees by reason of any payment made on account of injury, including death resulting therefrom, sustained by any employee of the insured, arising out of the performance of the above referenced contract.

This endorsement does not increase the Company’s total limits of liability.

Name Insured (Contractor) Insurance Company



By (Company Representative)

State of ) County of ) On this day of , 20 , before me personally came to be known, who being duly sworn, did depose and say: that is an authorized representative of the and acknowledged to me that executed the within instrument on behalf of said insurance company.


Notary Public

NOTICE: No substitution or revision to the above endorsement form will be accepted. If the insurance called for is provided by more than one policy, a separate endorsement in the exact above form shall be provided for each policy.

Insurance Endorsement (Workers’ Compensation) - 1 of 1


CERTIFICATE OF INSURANCE


Type of Insurance: Liability Insurance

THIS IS TO CERTIFY that the following policies have been issued to the below stated company in conformance with the requirements of Section 7-1.12 of the Standard Specifications and are in force at this time:

Limits of Liability

POLICY EXPIRATION In Thousands (000)

NUMBER DATE Each Occurrence Aggregate

A. GENERAL LIABILITY

Bodily Injury $

Property Damage $

Bodily Injury and Property Damage Combined $

Personal Injury $

B. AUTOMOBILE LIABILITY

Bodily Injury $ (Each Person)

Bodily Injury $ (Each Occurrence)


C. EXCESS LIABILITY


Certificate of Insurance (Liability) - 1 of 3


The following types of coverage are included in said policies (indicated by “X” in space):

A GENERAL LIABILITY:

Comprehensive Form ........................................... YES NO Premises-Operations ........................................... YES NO Explosion and Collapse Hazard .......................... YES NO Underground Hazard ........................................... YES NO Products/Completed Operations Hazard .......... YES NO Contractual Insurance .......................................... YES NO Broad Form Property Damage Including Completed Operations ........................................ YES NO Independent Contractors .................................... YES NO Personal Injury ...................................................... YES NO

B. AUTOMOBILE LIABILITY

Comprehensive Form Including Loading and Unloading ....................................................... YES NO Owned .................................................................... YES NO Hired ....................................................................... YES NO Non-Owned ........................................................... YES NO

C. EXCESS LIABILITY

Umbrella Form ...................................................... YES NO Other than Umbrella Form .................................. YES NO

This certificate or verification of insurance is not an insurance policy and does not amend, extend, or alter the coverage afforded by the policies listed herein. Notwithstanding any requirement, term, or condition of any contract or other document with respect to which this certificate or verification of insurance may be issued or may pertain, the insurance afforded by the policies described herein is subject to all the terms, exclusions, and conditions of such policies.



The company will give at least thirty (30) days’ written notice by certified mail to the City and the Consulting Engineer prior to any material change or cancellation of said policies.

Name Insured (Contractor) Insurance Company Street Number Street Number City and State City and State


State of ) )

County of )

On this day of , 200 , before me personally came to be known who being duly sworn, did depose and say: that is an authorized representative of the and acknowledged to me that executed the within instrumental on behalf of said insurance company.


NOTARY PUBLIC

Insurance Company Agent for Service Of Process in California:

Name Agency



Telephone No. Telephone No.

NOTICE: No substitution or revision to the above certificate form will be accepted. If the insurance called for is provided by more than one insurance company, a separate certificate in the above form shall be provided for each insurance company.

Insurers must be authorized to do business and have an agent for service of process in California and have an “A-” policyholders’ rating and a financial rating of at least Class VII in accordance with the most current Best’s Rating.



INSURANCE ENDORSEMENT


Type of Insurance: Liability Insurance

This endorsement forms a part of Policy No. .

ENDORSEMENT: The City, it’s officers and employees are included as additional insureds under said policies but only while acting in their capacity as such and only as respects operations of the named insured, his Contractors, and Subcontractor, any supplier, anyone directly or indirectly employed by any of them, or anyone for whose acts any of them may be liable in the performance of the above-referenced contract. This insurance shall not apply if the loss or damage is ultimately determined to be the result of the sole and exclusive negligence (including any connected with the preparation or approval of maps, drawings, opinions, reports, surveys, designs, or specifications) of one or more of the aforesaid additional insureds. The insurance afforded to these additional insureds is primary insurance. If the additional insureds have other insurance which might be applicable to any loss, the amount of this insurance shall not be reduced or pro-rated by the existence of such other insurance.

The Contractual Liability Insurance afforded is sufficiently broad to insure all of the matters set forth in the section entitled, “Indemnity”, in the Special Provisions of the above-referenced contract except those matters set forth in the fourth paragraph thereof.

This endorsement does not increase the Company’s total limits of liability.

Name Insured (Contractor) Insurance Company




State of ) ) SEE NOTICE ON PAGE 2 of 2

County of )

On this day of , 200 , before me personally came to be known who being duly sworn, did depose and say: That is an authorized representative of the and acknowledged to me that executed the within instrument on behalf of said insurance company.

Insurance Endorsement (Liability) - Page 1 of 2



NOTARY PUBLIC

NOTICE: No substitution or revision to the above endorsement form will be accepted. If the insurance called for is provided by more than one policy, a separate endorsement in the exact above form shall be provided for each policy.

Insurers must be authorized to do business and have an agent for service of process in California and have an “A-” policyholder’s rating and a financial rating of at least Class VII in accordance with the most current Best’s Rating.

Insurance Endorsement (Liability) - Page 2 of 2

Job Order Contract (JOC) Building Improvements 169 | Page Job Order Contract Funding Agency Provisions Certificate of Compliance

COMPANY LETTERHEAD

CERTIFICATE OF COMPLIANCE

Materials and Workmanship Compliance

For Contract or Task

I certify that the material listed below complies with the materials and workmanship requirements of the Caltrans Contract Plans, Special Provisions, Standard Specifications, and Standard Plans for the contract listed above.

I also certify that I am an official representative for , the manufacturer of the material listed above. Furthermore, I certify that where California test methods, physical or chemical test requirements are part of the specifications, that the manufacturer has performed the necessary quality control to substantiate this certification.

Material Description:

Manufacturer:

Model:

Serial Number (if applicable)

Quantity to be supplied:

Remarks:

Signed by:

Printed Name:

Title:

Company:

Date:

Job Order Contract (JOC) Building Improvements 170 | Page Job Order Contract Funding Agency Provisions Notice of Materials to be Used

City of San Diego Public Works Department, Field Engineering Division

NOTICE OF MATERIALS TO BE USED

To: Date: , 2 Resident Engineer

You are hereby notified that the materials required for use under Contract No. for construction of , in the City of San Diego, will be obtained from sources herein designated.

CONTRACT ITEM NO. (Bid Item)

KIND OF MATERIAL (Category)

NAME AND ADDRESS WHERE MATERIAL CAN BE INSPECTED (At Source)

It is requested that you arrange for a sampling, testing, and inspection of the materials prior to delivery, in accordance with Section 4-1.11 of the WHITEBOOK, where it is practicable, and in accordance with your policy. It is understood that source inspection does not relieve the Contractor of full responsibility for incorporating in the work, materials that comply in all respects with the contract plans and specifications, nor does it preclude subsequent rejection of materials found to be undesirable or unsuitable.

Distribution:

Supplier Yours truly,

Signature of Supplier Address

Job Order Contract (JOC) Building Improvements 171 | Page Job Order Contract Funding Agency Provisions Notice of Materials to be Used

Phone Number:

Job Order Contract (JOC) Building Improvements 172 | Page Job Order Contract Funding Agency Provisions Caltrans Standard Specifications (Rev. Jun. 2019)

CALTRANS STANDARD SPECIFICATIONS


DIVISION I GENERAL PROVISIONS

2 BIDDING

2-1.01 GENERAL

Section 2 includes specifications related to bid eligibility and the bidding process.

The bidder's attention is directed to the provisions in Section 2, “Bidding,” of the Standard Specifications and these special provisions for the requirements and conditions which the bidder must observe in the preparation of and the submission of the bid.

The bidder's bond shall conform to the bond form in the Contract Documents for the project and shall be properly filled out and executed. The bidder’s bond form included in that Contract Documents may be used.

In conformance with Public Contract Code Section 7106, a Noncollusion Affidavit is included in the Contract Documents. Signing the Contract Documents shall also constitute signature of the Noncollusion Affidavit.

Failure of the bidder to fulfill the requirements of the Special Provisions for submittals required to be furnished after bid opening, including but not limited to escrowed bid documents, where applicable, may subject the bidder to a determination of the bidder's responsibility in the event it is the apparent low bidder on a future public works contracts.

2-1.015 FEDERAL LOBBYING RESTRICTIONS. Section 1352, Title 31, United States Code prohibits Federal funds from being expended by the recipient or any lower-tier sub-recipient of a Federal-aid contract to pay for any person for influencing or attempting to influence a Federal agency or Congress in connection with the awarding of any Federal-aid contract, the making of any Federal grant or loan, or the entering into of any cooperative agreement.

If any funds other than Federal funds have been paid for the same purposes in connection with this Federal-aid contract, the recipient shall submit an executed certification and, if required, submit a completed disclosure form as part of the bid documents.

A certification for Federal-aid contracts regarding payment of funds to lobby Congress or a Federal agency is included in the Bid book. Standard Form - LLL, “Disclosure of Lobbying Activities,” with instructions for completion of the Standard Form is also included in the Bid book. Signing the Bid book shall constitute signature of the Certification.

The above referenced certification and disclosure of lobbying activities shall be included in each subcontract and any lower-tier contracts exceeding $100,000. All disclosure forms, but not certifications, shall be forwarded from tier to tier until received by the Engineer.

The Contractor, subcontractors and any lower-tier contractors shall file a disclosure form at the end of each calendar quarter in which there occurs any event that requires disclosure or that materially affects the accuracy of the information contained in any disclosure form previously filed by the Contractor, subcontractors and any lower-tier contractors. An event that materially affects the accuracy of the information reported includes:


(1) A cumulative increase if $25,000 or more in the amount paid or expected to be paid for influencing or attempting to influence a covered federal action; or

(2) A change in the person(s) or individual(s) influencing or attempting to influence a covered federal action; or

(3) A change in the officer(s), employees(s), or member(s) contacted to influence or attempt to influence a covered Federal Action.

2-1.12 DISADVANTAGED BUSINESS ENTERPRISES

2-1.12A General

Under 49 CFR 26.13(b):

The contractor, sub recipient or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR part 26 in the award and administration of DOT-assisted contracts. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the recipient deems appropriate.

Take necessary and reasonable steps to ensure that DBEs have opportunity to participate in the Contract (49 CFR 26).

2-1.12B Disadvantaged Business Enterprises

2-1.12B(1) General

To ensure equal participation of DBEs groups provided in 49 CFR 26.5, the City’s shows a goal for DBEs.

Make work available to DBEs and select work parts consistent with available DBE subcontractors and suppliers.

Meet the DBE goal shown on the Notice Inviting Bids or demonstrate that you made adequate good faith efforts to meet this goal.

You are responsible to verify that the at the bid opening date the DBE firm is certified as DBE by the CA Unified Certification Program.

All DBE participation will count towards the California Department of Transportation’s federally mandated statewide overall DBE goal.

Credit for materials or supplies you purchase from DBEs counts toward the goal in the following manner:

1. 100 percent if the materials or supplies are obtained from a DBE manufacturer.

2. 60 percent if the materials or supplies are obtained from a DBE regular dealer.

3. Only fees, commissions, and charges for assistance in the procurement and delivery of


materials or supplies, if they are obtained from a DBE that is neither a manufacturer nor regular dealer. 49 CFR 26.55 defines "manufacturer" and "regular dealer."

You receive credit toward the goal if you employ a DBE trucking company that performs a commercially useful function as defined in 49 CFR 26.55(d)(1)-(4), (6).

2-1.12B(2) DBE Commitment Submittal

Submit DBE information on the Local Agency - DBE - Commitment form (DBE commitment form) included in the Contract Documents.

If the DBE commitment form is not submitted with the bid, all bidders must complete and submit the form to the City. The DBE commitment form must be received by the City no later than 4:00 p.m. on the 4th business day after bid opening.

Submit written confirmation from each DBE shown on the form stating that it will be participating in the Contract. Include confirmation with the DBE commitment form. A copy of a DBE's quote will serve as written confirmation that the DBE will be participating in the Contract.

If you do not submit the DBE commitment form by the specified time, your bid is non-responsive.

2-1.12B(3) Good Faith Efforts Submittal

If you have not met the DBE goal, complete and submit the Good Faith Efforts Documentation form with the bid showing that you made adequate good faith efforts to meet the goal. Only good faith efforts directed toward obtaining participation by DBEs are considered. If good faith efforts documentation is not submitted with the bid, it must be received by the City no later than 4:00 p.m. on the 4th business day after bid opening.

If your DBE commitment form shows that you have met the DBE goal or if you are required to submit the DBE commitment form, you must submit good faith efforts documentation within the specified time to protect your eligibility for award of the contract in the event the City finds that the DBE goal has not been met. Good faith efforts documentation must include the following information and supporting documents, as necessary:

1. Items of work you have made available to DBE firms. Identify those items of work you might otherwise perform with your own forces and those items that have been broken down into economically feasible units to facilitate DBE participation. For each item listed, show the dollar value and percentage of the total bid. You are responsible to demonstrate that sufficient work to meet the goal was made available to DBE firms.

2. Names of certified DBEs and dates on which they were solicited to bid on the project. Include the items of work offered. Describe the methods used for following up initial solicitations to determine with certainty whether the DBEs were interested and include the dates of the follow-up. Attach supporting documents such as copies of letters, memos, facsimiles sent, telephone logs, telephone billing statements, and other evidence of solicitation. You are reminded to solicit certified DBEs through all reasonable and available means and provide enough time to allow DBEs to respond.


3. Name of selected firm and its status as a DBE for each item of work made available. Include name, address, and telephone number of each DBE that provided a quote and its price quote. If the firm selected for the item is not a DBE, provide the reasons for the selection.

4. Name and date of each publication in which you requested DBE participation for the project. Attach copies of the published advertisements.

5. Names of agencies and dates on which they were contacted to provide assistance in contacting, recruiting, and using DBE firms. If the agencies were contacted in writing, provide copies of supporting documents.

6. List of efforts made to provide interested DBEs with adequate information about the plans, specifications, and requirements of the contract to assist them in responding to a solicitation. If you have provided information, identify the name of the DBE assisted, the nature of the information provided, and date of contact. Provide copies of supporting documents, as appropriate.

7. List of efforts made to assist interested DBEs in obtaining bonding, lines of credit, insurance, necessary equipment, supplies, and materials excluding supplies and equipment that the DBE subcontractor purchases or leases from the prime contractor or its affiliate. If such assistance is provided by you, identify the name of the DBE assisted, nature of the assistance offered, and date assistance was offered. Provide copies of supporting documents, as appropriate.

8. Any additional data to support demonstration of good faith efforts.

The City may consider DBE commitments of the 2nd and 3rd bidders in determining whether the low bidder made good faith efforts to meet the DBE goal.

3 CONTRACT AWARD AND EXECUTION

3-1.01 GENERAL

Section 3 includes specifications related to contract award and execution.

The bidder's attention is directed to the provisions in Section 3, "Contract Award and Execution," of the Standard Specifications and these special provisions for the requirements and conditions concerning award and execution of contract.

Bid protests are to be delivered to the following address:

THE CITY OF SAN DIEGO PUBLIC WORKS CONTRACTING GROUP

1010 SECOND AVENUE, 14th FLOOR, MS 614C SAN DIEGO, CA 92101

The award of the contract, if it be awarded, will be to the lowest responsible bidder whose bid complies with all the requirements prescribed.


The contract shall be executed by the successful bidder and shall be returned together with the contract bonds, to the Agency so that it is received within 10 days, not including Saturdays, Sundays and legal holidays, after the bidder has received the contract for execution. Failure to do so shall be just cause for forfeiture of the proposal guaranty. The executed contract documents shall be delivered to the following address:

THE CITY OF SAN DIEGO PUBLIC WORKS CONTRACTING GROUP

1010 SECOND AVENUE, 14th FLOOR, MS 614C SAN DIEGO, CA 92101

3-1.02 DATA UNIVERSAL NUMBERING SYSTEM (D-U-N-S) NUMBER

For the purpose of complying with the American Recovery and Reinvestment Act of 2009, the successful bidder must provide the Department a D-U-N-S number.

Complete and sign the Data Universal Numbering System (D-U-N-S) Number form included in the contract documents. This form must be submitted with the executed contract.

If your company does not have a D-U-N-S number, you can obtain one by contacting Dun & Bradstreet at: http://dnb.com/us/

If you fail to submit this information with the executed contract, the City will not approve the contract.

3-1.06 CONTRACTOR LICENSE

For a federal-aid contract, the Contractor must be properly license as a contractor from contract award through Contract acceptance (Pub Cont Code § 10164).

For a non-federal-aid contract:

1. The Contractor must be properly licensed as a contractor from bid opening through Contract acceptance (Bus & Prof Code § 7028.15)

2. Joint venture bidders must obtain a joint venture license before contract award (Bus & Prof Code § 7029.1)

3-1.12 CALTRANS BIDDER - DBE INFORMATION FORM

Complete and sign the Local Agency - DBE Information form included in the contract documents regardless of whether no DBE participation is reported.

Provide written confirmation from each DBE that the DBE is participating in the Contract. A copy of a DBE's quote serves as written confirmation. If a DBE is participating as a joint venture partner, the City encourages you to submit a copy of the joint venture agreement.


3-1.13 FORM FHWA-1273

For a federal-aid contract, form FHWA-1273 is included with the Contract form in the documents sent to the successful bidder for execution. Comply with its provisions. Interpret the training and promotion section as specified in section 7-1.11A.


5 CONTROL OF WORK

5-1.01 GENERAL

Section 5 includes specifications regarding the Contract parties' relations and Contract acceptance.

5-1.04A PROMPT PROGRESS PAYMENT TO SUBCONTRACTORS

A prime contractor or subcontractor shall pay any subcontractor not later than 10 days of receipt of each progress payment in accordance with the provision in Section 7108.5 of the California Business and Professions Code concerning prompt payment to subcontractors. The 10 days is applicable unless a longer period is agreed to in writing. Any delay or postponement of payment over 30 days may take place only for good cause and with the agency’s prior written approval. Any violation of Section 7108.5 shall subject the violating contractor or subcontractor to the penalties, sanction and other remedies of that section. This requirement shall not be construed to limit or impair any contractual, administrative, or judicial remedies otherwise available to the contractor or subcontractor in the event of a dispute involving late payment or nonpayment by the prime contractor, deficient subcontract performance, or noncompliance by a subcontractor.

5-1.04B PROMPT PAYMENT OF FUNDS WITHHELD TO SUBCONTRACTORS

The agency shall hold retainage from the prime contractor and shall make prompt and regular incremental acceptances of portions, as determined by the agency, of the contract work, and pay retainage to the prime contractor based on these acceptances. The prime contractor, or subcontractor, shall return all monies withheld in retention from a subcontractor within 30 days after receiving payment for work satisfactorily completed and accepted including incremental acceptances of portions of the contract work by the agency. Federal law (49CFR26.29) requires that any delay or postponement of payment over 30 days may take place only for good cause and with the agency’s prior written approval. Any violation of this provision shall subject the violating prime contractor or subcontractor to the penalties, sanctions and other remedies specified in Section 7108.5 of the Business and Professions Code. These requirements shall not be construed to limit or impair any contractual, administrative, or judicial remedies otherwise available to the prime contractor or subcontractor in the event of a dispute involving late payment or nonpayment by the prime contractor, deficient subcontract performance, or noncompliance by a subcontractor.

5-1.04C SUBCONTRACTING

No subcontract releases the Contractor from the contract or relieves the Contractor of their responsibility for a subcontractor’s work.

If the Contractor violates Pub Cont Code § 4100 et seq., the City of San Diego may exercise the remedies provided under Pub Cont Code § 4110.

The City of San Diego may refer the violation to the Contractors State License Board as provided under Pub Cont Code § 4111.

The Contractor shall perform work equaling at least 30 percent of the value of the original total bid with the Contractor’s own employees and equipment, owned or rented, with or without operators.


Each subcontract must comply with the contract.

Each subcontractor must have an active and valid State contractor’s license with a classification appropriate for the work to be performed (Bus & Prof Code, § 7000 et seq.).

Submit copies of subcontracts upon request by the Engineer.

Before subcontracted work starts, submit a Subcontracting Request form.

Do not use a debarred contractor; a current list of debarred contractors is available at the Department of Industrial Relations web site at: http://www.dir.ca.gov/dlse/debar.html

Upon request by the Engineer, immediately remove and not again use a subcontractor who fails to prosecute the work satisfactorily.

Each subcontract and any lower-tier subcontract that may in turn be made shall include the “Required Contract Provisions Federal-Aid Construction Contracts” in Section 7 of these special provisions. Noncompliance shall be corrected. Payment for subcontracted work involved will be withheld from progress payments due or to become due, until correction is made. Failure to comply may result in termination of the contract.

5-1.05 PAYMENTS. -- Attention is directed to Section 9-1.16, "PROGRESS PAYMENTS," and 9-1.17, "PAYMENT AFTER CONTRACT ACCEPTANCE," of the Standard Specifications and these special provisions.

For the purpose of making progress payments pursuant to Section 9-1.16, "PROGRESS PAYMENTS," of the Standard Specifications, the amount set forth for the contract items of work hereinafter listed shall be deemed to be the maximum value of the contract item of work, which will be recognized for progress payment purposes.

Clearing and Grubbing $40,000.00

Develop Water Supply $80,000.00

After acceptance of the contract pursuant to the provisions in Section 5-1.46, " FINAL INSPECTION AND CONTRACT ACCEPTANCE," of the Standard Specifications, the amount, if any, payable for a contract item of work in excess of the maximum value for progress payment purposes hereinabove listed for the item, will be included for payment in the first estimate made after acceptance of the contract.

No partial payment will be made for any materials on hand which are furnished but not incorporated in the work.

5-1.15 STATISTICAL TESTING - Requirements for statistical testing will not apply to the Work.

5-1.13B Disadvantaged Business Enterprises

5-1.13B(1) General


Use each DBE subcontractor as listed on the Subcontractor List form and the Local Agency - DBE Information form unless you receive authorization for a substitution.

Notify the Engineer of any changes to your anticipated DBE participation. Submit this notification before starting the affected work.

Maintain records including:

1. Name and business address of each 1st-tier subcontractor

2. Name and business address of each DBE subcontractor, DBE vendor, and DBE trucking company, regardless of tier

3. Date of payment and total amount paid to each business

If you are a DBE contractor, include the date of work performed by your own forces and the corresponding value of the work.

Before the 15th day of each month, submit a Monthly DBE Trucking Verification form.

If a DBE subcontractor is decertified before completing subcontracted work, the subcontractor must notify you in writing of the decertification date. If a subcontractor becomes a certified DBE before completing subcontracted work, the subcontractor must notify you in writing of the certification date. Submit the notifications. On work completion, complete a Disadvantaged Business Enterprises (DBE) Certification Status Change form. Submit the form within 90 days of Contract acceptance.

Upon work completion, complete a Final Report – Utilization of Disadvantaged Business Enterprises (DBE), First-Tier Subcontractors form. Submit it within 90 days of Contract acceptance. The City withholds $10,000 until the form is submitted. The City releases the withhold upon submission of the completed form.

5-1.13B(2) Performance of Disadvantaged Business Enterprises

DBEs must perform work or supply materials as listed in the Local Agency - DBE - Commitment form.

Do not terminate or substitute a listed DBE listed for convenience and perform the work with your own forces or obtain materials from other sources without written authorization from the City.

The City authorizes a request to use other forces or sources of materials if it shows any of the following justifications:

1. Listed DBE fails or refuses to execute a written contract based on the plans and specifications for the project.

2. You stipulated that a bond is a condition of executing the subcontract and the listed DBE fails to meet your bond requirements.

3. Work requires a contractors license and the listed DBE does not have a valid license under Contractors License Law.


4. Listed DBE fails or refuses to perform the work or furnish the listed materials.

5. Listed DBE's work is unsatisfactory and not in compliance with the Contract.

6. Listed DBE is ineligible to work on the project because of suspension or debarment.

7. Listed DBE becomes bankrupt or insolvent.

8. Listed DBE voluntarily withdraws with written notice from the Contract.

9. Listed DBE is ineligible to receive credit for the type of work required.

10. Listed DBE owner dies or becomes disabled resulting in the inability to perform the work on the Contract.

11. City determines other documented good cause.

Notify the original DBE of your intent to use other forces or material sources and provide the reasons. Provide the DBE with 5 days to respond to your notice and advise you and the Department of the reasons why the use of other forces or sources of materials should not occur. Your request to use other forces or material sources must include:

1. 1 or more of the reasons listed in the preceding paragraph

2. Notices from you to the DBE regarding the request

3. Notices from the DBE to you regarding the request

If a listed DBE is terminated or substituted, you must make good faith efforts to find another DBE to substitute for the original DBE. The substitute DBE must perform at least the same amount of work as the original DBE under the Contract to the extent needed to meet the DBE goal.

The substitute DBE must be certified as a DBE at the time of request for substitution.

Unless the City authorizes (1) a request to use other forces or sources of materials or (2) a good faith effort for a substitution of a terminated DBE, the City does not pay for work listed on the Local Agency - DBE - Commitment form unless it is performed or supplied by the listed DBE or an authorized substitute.

6 CONTROL OF MATERIALS

6-1 GENERAL

6-1.01 GENERAL

Section 6 includes specifications related to control of materials.


6-2 MATERIAL SOURCE

6-2.01 GENERAL

Material incorporated into the work must be new.

6-2.02 MATERIAL SOURCE

Before the preconstruction conference, submit material source information on a Notice of Materials to Be Used form.

6-2.05 BUY AMERICA

6-2.05A General

Reserved

6-2.05C Steel and Iron Materials (23 CFR 635.410)

Section 6-2.05C applies to a federal-aid contract.

Furnish steel and iron materials to be incorporated into the work with certificates of compliance. Steel and iron materials must be produced in the U.S. except:

1. Foreign pig iron and processed, pelletized, and reduced iron ore may be used in the domestic production of the steel and iron materials [60 Fed Reg 15478 (03/24/1995)]

2. If the total combined cost of the materials does not exceed the greater of 0.1 percent of the total bid or $2,500, materials produced outside the U.S. may be used

Production includes:

1. Processing steel and iron materials, including smelting or other processes that alter the physical form or shape (such as rolling, extruding, machining, bending, grinding, and drilling) or chemical composition

2. Coating application, including epoxy coating, galvanizing, and painting, that protects or enhances the value of steel and iron materials

7 LEGAL RELATIONS AND RESPONSIBILITY TO THE PUBLIC

7-1.01 GENERAL

Section 7 includes specifications regarding your:

1. Compliance with laws

2. Responsibilities for public safety and convenience

3. Responsibilities for indemnification, insurance, and liability


7-1.02 LAWS

7-1.02A General

Comply with laws, regulations, orders, and decrees applicable to the project. Indemnify and defend the State against any claim or liability arising from the violation of a law, regulation, order, or decree by you or your employees. Immediately report to the Engineer a discrepancy or inconsistency between the Contract and a law, regulation, order, or decree.

If the City incurs any fines or penalties because of your failure to comply with a law, regulation, order, or decree, the City deducts the amount of the fine or penalty.

Immediately notify the Engineer if a regulatory agency requests access to the job site or to records. Submit a list of documents provided to the agency and issued enforcement actions.

7-1.02B U.S. Fair Labor Standards Act

Comply with 29 USC § 201 et seq.

7-1.02D–7-1.02H Reserved

7-1.02I Government Code

7-1.02I(1) General

Reserved

7-1.02I(2) Nondiscrimination

Under 2 CA Code Regs §§ 8107 and 8203:

1. During the performance of this contract, contractor and its subcontractors shall not unlawfully discriminate against any employee or applicant for employment because of race, religion, color, national origin, ancestry, physical handicap, medical condition, marital status, age (over 40) or sex. Contractors and subcontractors shall insure that the evaluation and treatment of their employees and applicants for employment are free of such discrimination. Contractors and subcontractors shall comply with the provisions of the Fair Employment and Housing Act (Gov. Code, Section 12900 et seq.) and the applicable regulations promulgated thereunder (Cal. Admin. Code, Tit. 2, Section 7285.0 et seq.). The applicable regulations of the Fair Employment and Housing Commission implementing Government Code, Section 12990, set forth in Chapter 5 of Division 4 of Title 2 of the California Administrative Code are incorporated into this contract by reference and made a part hereof as if set forth in full. Contractor and its subcontractors shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other agreement.

2. This Contractor shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under the contract.


STANDARD CALIFORNIA NONDISCRIMINATION CONSTRUCTION CONTRACT SPECIFICATIONS (GOV. CODE, SECTION 12990)

These specifications are applicable to all state contractors and subcontractors having a construction contract or subcontract of $5,000, or more.

1. As used in the specifications:

a. "Administrator" means Administrator, Office of Compliance Programs, California Department of Fair Employment and Housing, or any person to whom the Administrator delegates authority;

b. "Minority" includes:

(i) Black (all persons having primary origins in any of the black racial groups of Africa, but not of Hispanic origin);

(ii) Hispanic (all persons of primary culture or origin in Mexico, Puerto Rico, Cuba, Central or South America or other Spanish derived culture or origin regardless of race);

(iii) Asian / Pacific Islander (all persons having primary origins in any of the original peoples of the Far East, Southeast Asia, the Indian Subcontinent or the Pacific Islands); and

(iv) American Indian / Alaskan Native (all persons having primary origins in any of the original peoples of North America and who maintain culture identification through tribal affiliation or community recognition).

2. Whenever the contractor or any subcontractor subcontracts a portion of the work, it shall physically include in each subcontract of $5,000 or more the nondiscrimination clause in this contract directly or through incorporation by reference. Any subcontract for work involving a construction trade shall also include the Standard California Construction Contract Specifications, either directly or through incorporation by reference.

3. The contractor shall implement the specific nondiscrimination standards provided in paragraph 6(a) through (e) of these specifications.

4. Neither the provisions of any collective bargaining agreement, nor the failure by a union with whom the contractor has a collective bargaining agreement, to refer either minorities or women shall excuse the contractor's obligations under these specifications, Government Code, Section 12990, or the regulations promulgated pursuant thereto.

5. In order for the nonworking training hours of apprentices and trainees to be counted, such apprentices and trainees must be employed by the contractor during the training period, and the contractor must have made a commitment to employ the apprentices and trainees at the completion of their training, subject to the availability of employment opportunities. Trainees must be trained pursuant to training programs approved by the U.S. Department of Labor or the California Department of Industrial Relations.


6. The contractor shall take specific actions to implement its nondiscrimination program. The evaluation of the contractor's compliance with these specifications shall be based upon its effort to achieve maximum results from its actions. The contractor must be able to demonstrate fully its efforts under Steps a. through e. below:

a. Ensure and maintain a working environment free of harassment, intimidation, and coercion at all sites, and at all facilities at which the contractor's employees are assigned to work. The contractor, where possible, will assign two or more women to each construction project. The contractor shall specifically ensure that all foremen, superintendents, and other on-site supervisory personnel are aware of and carry out the contractor's obligations to maintain such a working environment, with specific attention to minority or female individuals working at such sites or in such facilities.

b. Provide written notification within seven days to the director of DFEH when the union or unions with which the Contractor has a collective bargaining agreement has not referred to the Contractor a minority person or woman sent by the Contractor, or when the Contractor has other information that the union referral process has impeded the Contractor's efforts to meet its obligations.

c. Disseminate the Contractor's equal employment opportunity policy by providing notice of the policy to unions and training, recruitment and outreach programs and requesting their cooperation in assisting the Contractor to meet its obligations; and by posting the company policy on bulletin boards accessible to all employees at each location where construction work is performed.

d. Ensure all personnel making management and employment decisions regarding hiring, assignment, layoff, termination, conditions of work, training, rates of pay or other employment decisions, including all supervisory personnel, superintendents, general foremen, on-site foremen, etc., are aware of the Contractor's equal employment opportunity policy and obligations, and discharge their responsibilities accordingly.

e. Ensure that seniority practices, job classifications, work assignments and other personnel practices, do not have a discriminatory effect by continually monitoring all personnel and employment related activities to ensure that the equal employment opportunity policy and the Contractor's obligations under these specifications are being carried out.

7. Contractors are encouraged to participate in voluntary associations which assist in fulfilling their equal employment opportunity obligations. The efforts of a contractor association, joint contractor-union, contractor-community, or other similar group of which the contractor is a member and participant, may be asserted as fulfilling any one or more of its obligations under these specifications provided that the contractor actively participates in the group, makes every effort to assure that the group has a positive impact on the employment of minorities and women in the industry, ensures that the concrete benefits of the program are reflected in the Contractor's minority and female workforce participation, and can provide access to documentation which demonstrates the effectiveness of actions taken on behalf of the Contractor. The obligation to comply, however, is the Contractor's.


8. The Contractor is required to provide equal employment opportunity for all minority groups, both male and female, and all women, both minority and non-minority. Consequently, the Contractor may be in violation of the Fair Employment and Housing Act (Gov. Code, Section 12990 et seq.) if a particular group is employed in a substantially disparate manner.

9. Establishment and implementation of a bona fide affirmative action plan pursuant to Section 8104 (b) of this Chapter shall create a rebuttal presumption that a contractor is in compliance with the requirements of Section 12990 of the Government Code and its implementing regulations.

10. The Contractor shall not use the nondiscrimination standards to discriminate against any person because of race, color, religion, sex, national origin, ancestry, physical handicap, medical condition, marital status or age over 40.

11. The Contractor shall not enter into any subcontract with any person or firm decertified from state contracts pursuant to Government Code Section 12990.

12. The Contractor shall carry out such sanctions and penalties for violation of these specifications and the nondiscrimination clause, including suspension, termination and cancellation of existing subcontracts as may be imposed or ordered pursuant to Government Code Section 12990 and its implementing regulations by the awarding agency. Any Contractor who fails to carry out such sanctions and penalties shall be in violation of these specifications and Government Code Section 12990.

13. The Contractor shall designate a responsible official to monitor all employment related activity to ensure that the company equal employment opportunity policy is being carried out, to submit reports relating to the provisions hereof as may be required by OCP and to keep records. Records shall at least include for each employee the name, address, telephone numbers, construction trade, union affiliation if any, employee identification number when assigned, social security number, race, sex, status, (e.g., mechanic, apprentice trainee, helper, or laborer), dates of changes in status, hours worked per week in the indicated trade, rate of pay, and locations at which the work was performed. Records shall be maintained in any easily understandable and retrievable form; however, to the degree that existing records satisfy this requirement, contractors shall not be required to maintain separate records.

7-1.02K(4) Apprentices

Comply with the apprentice to journeyman ratio requirements (Labor Code § 1777.5(g)).

Comply with the training contribution requirements (Labor Code § 1777.5(m)(1)).

For answers to questions, contact the Division of Apprenticeship Standards before starting work.

7-1.11 FEDERAL LAWS FOR FEDERAL-AID CONTRACTS

7-1.11A General

A copy of form FHWA-1273 is included in section 7-1.11B. The training and promotion section of section II refers to training provisions as if they were included in the special provisions. The


Department specifies the provisions in section 7-1.11D of the Standard Specifications. If a number of trainees or apprentices is required, the Department shows the number on the Notice to Bidders. Interpret each FHWA-1273 clause shown in the following table as having the same meaning as the corresponding Department clause:

FHWA-1273 Nondiscrimination Clauses

FHWA-1273 section

FHWA-1273 clause Department clause

Training and Promotion

In the event a special provision for training is provided under this contract, this subparagraph will be superseded as indicated in the special provision.

If section 7-1.11D applies, section 7-1.11D supersedes this subparagraph.

Records and Reports

If on-the-job training is being required by special provision, the contractor will be required to collect and report training data.

If the Contract requires on-the-job training, collect and report training data.

7-1.11B FHWA-1273

FHWA-1273 -- Revised May 1, 2012

REQUIRED CONTRACT PROVISIONS

FEDERAL-AID CONSTRUCTION CONTRACTS

ADD PDF FILE


REQUIRED CONTRACT PROVISIONS

FEDERAL-AID CONSTRUCTION CONTRACTS

ADD PDF FILE


7-1.11C Female and Minority Goals

To comply with section II, "Nondiscrimination," of "Required Contract Provisions Federal-Aid Construction Contracts," the Department is including in section 7-1.11C female and minority utilization goals for federal-aid construction contracts and subcontracts that exceed $10,000.

The nationwide goal for female utilization is 6.9 percent.

The goals for minority utilization [45 Fed Reg 65984 (10/3/1980)] are as shown in the following table:

Minority Utilization Goals

Economic area Goal

(Percent)

174 Redding CA:

Non-SMSA Counties:

CA Lassen; CA Modoc; CA Plumas; CA Shasta; CA Siskiyou; CA Tehama

6.8

175 Eureka, CA

Non-SMSA Counties:

CA Del Norte; CA Humboldt; CA Trinity

6.6


Economic area Goal

(Percent)

176 San Francisco-Oakland-San Jose, CA:

SMSA Counties:

7120 Salinas-Seaside-Monterey, CA

CA Monterey

7360 San Francisco-Oakland

CA Alameda; CA Contra Costa; CA Marin; CA San Francisco; CA San Mateo

7400 San Jose, CA

CA Santa Clara, CA

7485 Santa Cruz, CA

CA Santa Cruz

7500 Santa Rosa

CA Sonoma

8720 Vallejo-Fairfield-Napa, CA

CA Napa; CA Solano

Non-SMSA Counties:

CA Lake; CA Mendocino; CA San Benito

28.9

25.6

19.6

14.9

9.1

17.1

23.2


Economic area Goal

(Percent)

177 Sacramento, CA:

SMSA Counties:

6920 Sacramento, CA

CA Placer; CA Sacramento; CA Yolo

Non-SMSA Counties

CA Butte; CA Colusa; CA El Dorado; CA Glenn; CA Nevada; CA Sierra; CA Sutter; CA Yuba

16.1

14.3

178 Stockton-Modesto, CA:

SMSA Counties:

5170 Modesto, CA

CA Stanislaus

8120 Stockton, CA

CA San Joaquin

Non-SMSA Counties

CA Alpine; CA Amador; CA Calaveras; CA Mariposa; CA Merced; CA Tuolumne

12.3

24.3

19.8


Economic area Goal

(Percent)

179 Fresno-Bakersfield, CA

SMSA Counties:

0680 Bakersfield, CA

CA Kern

2840 Fresno, CA

CA Fresno

Non-SMSA Counties:

CA Kings; CA Madera; CA Tulare

19.1

26.1

23.6


Economic area Goal

(Percent)

180 Los Angeles, CA:

SMSA Counties:

0360 Anaheim-Santa Ana-Garden Grove, CA

CA Orange

4480 Los Angeles-Long Beach, CA

CA Los Angeles

6000 Oxnard-Simi Valley-Ventura, CA

CA Ventura

6780 Riverside-San Bernardino-Ontario, CA

CA Riverside; CA San Bernardino

7480 Santa Barbara-Santa Maria-Lompoc, CA

CA Santa Barbara

Non-SMSA Counties

CA Inyo; CA Mono; CA San Luis Obispo

11.9

28.3

21.5

19.0

19.7

24.6

181 San Diego, CA:

SMSA Counties

7320 San Diego, CA

CA San Diego

Non-SMSA Counties

CA Imperial

16.9

18.2

For each July during which work is performed under the Contract, you and each non-material-supplier subcontractor with a subcontract of $10,000 or more must complete Form FHWA PR-1391 (Appendix


C to 23 CFR 230). Submit the forms by August 15.

7-1.11D Training

For the Federal training program, the number of trainees or apprentices is 2.

As part of your equal opportunity affirmative action program, provide on-the-job training to develop full journeymen in the types of trades or job classifications involved.

You have primary responsibility for meeting this training requirement.

If you subcontract a Contract part, determine how many trainees or apprentices are to be trained by the subcontractor.

Where feasible, 25 percent of apprentices or trainees in each occupation must be in their 1st year of apprenticeship or training.

Distribute the number of apprentices or trainees among the work classifications on the basis of your needs and the availability of journeymen in the various classifications within a reasonable recruitment area.

Before starting work, submit:

1. Number of apprentices or trainees to be trained for each classification

2. Training program to be used

3. Training starting date for each classification

Obtain the Department's approval for this submitted information before you start work. The Department credits you for each apprentice or trainee you employ on the work who is currently enrolled or becomes enrolled in an approved program.

The primary objective of section 7-1.11D is to train and upgrade minorities and women toward journeymen status. Make every effort to enroll minority and women apprentices or trainees, such as conducting systematic and direct recruitment through public and private sources likely to yield minority and women apprentices or trainees, to the extent they are available within a reasonable recruitment area. Show that you have made the efforts. In making these efforts, do not discriminate against any applicant for training.

Do not employ as an apprentice or trainee an employee:

1. In any classification in which the employee has successfully completed a training course leading to journeyman status or in which the employee has been employed as a journeyman

2. Who is not registered in a program approved by the U.S. Department of Labor, Bureau of Apprenticeship and Training

Ask the employee if the employee has successfully completed a training course leading to journeyman


status or has been employed as a journeyman. Your records must show the employee's answers to the questions.

In your training program, establish the minimum length and training type for each classification. The Department and FHWA approves a program if one of the following is met:

1. It is calculated to:

1.1. Meet your equal employment opportunity responsibilities.

1.2. Qualify the average apprentice or trainee for journeyman status in the classification involved by the end of the training period.

2. It is registered with the U.S. Department of Labor, Bureau of Apprenticeship and Training and it is administered in a way consistent with the equal employment responsibilities of federal-aid highway construction contracts.

Obtain Department approval for your training program before you start work involving the classification covered by the program.

Provide training in the construction crafts, not in clerk-typist or secretarial-type positions. Training is allowed in lower level management positions such as office engineers, estimators, and timekeepers if the training is oriented toward construction applications. Training is allowed in the laborer classification if significant and meaningful training is provided and approved by the FHWA division office. Off-site training is allowed if the training is an integral part of an approved training program and does not make up a significant part of the overall training.

The Department reimburses you 80 cents per hour of training given an employee on this Contract under an approved training program:

1. For on-site training

2. For off-site training if the apprentice or trainee is currently employed under a federal-aid contract and you do at least one of the following:

2.1. Contribute to the cost of the training

2.2. Provide the instruction to the apprentice or trainee

2.3. Pay the apprentice's or trainee's wages during the off-site training period

3. If you comply with section 7-1.11D

Each apprentice or trainee must:

1. Start training on the project as soon as feasible after the start of work involving the apprentice's or trainee's craft


2. Remain on the project as long as training opportunities exist in the apprentice's or trainee's work classification or until the apprentice or trainee has completed the training program

Furnish the apprentice or trainee:

1. Copy of the program you will comply with in providing the training

2. Certification showing the type and length of training satisfactorily completed

Maintain records and submit reports documenting your performance under section 7-1.11D.


8 PROSECUTION AND PROGRESS

8-1.01 GENERAL

Section 8 includes specifications related to prosecuting the Contract and work progress.

8-1.10 DC-CEM-1201 DAMAGES

8-1.10A General

The Department specifies liquidated damages (Pub Cont Code § 10226). Liquidated damages, if any, accrue starting on the 1st day after the expiration of the working days through the day of Contract acceptance except as specified in sections 8-1.08B and 8-1.08C.

The Department withholds liquidated damages before the accrual date if the anticipated liquidated damages may exceed the value of the remaining work.

Liquidated damages for all work except plant establishment are as shown in the following table:

Liquidated Damages

Total bid Liquidated damages

From over To per day

$0 $50,000 $1,200

$50,000 $120,000 $1,500

$120,000 $1,000,000 $1,900

$1,000,000 $5,000,000 $3,000

$5,000,000 $10,000,000 $5,400

$10,000,000 $30,000,000 $8,300

$30,000,000 $100,000,000 $10,500


Liquidated Damages

$100,000,000 $250,000,000 $28,500

If all work except plant establishment is complete and the total number of working days have expired, liquidated damages are $950 per day.


CALTRANS STANDARD SPECIFICATIONS (13-95)

CALTRANS STANDARD SPECIFICATIONS - MATERIALS

CALTRANS STANDARD SPECIFICATIONS - DESCRIPTION OF BRIDGE WORK

CALTRANS STANDARD SPECIFICATIONS - CONSTRUCTION DETAILS

CALTRANS STANDARD SPECIFICATIONS - BUILDINGS

CALTRANS STANDARD SPECIFICATIONS - RAILROAD RELATIONS

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